The Guide to the
Business Analysis
Body of Knowledge®
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Version 2.0
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Draft for Public Review
www.theiiba.org
Table of Contents
1
A Guide to the Business Analysis Body of Knowledge®
Table of Contents
Chapter 1: Introduction .................................................................................................4
1.1
1.2
1.3
1.4
What is the Business Analysis Body of Knowledge? ............................................................................................ 4
What is Business Analysis?........................................................................................................................................... 6
Requirements and Solutions........................................................................................................................................ 7
Structure of BABOK 2.0.................................................................................................................................................. 9
Chapter 2: Business Analysis Planning and Monitoring ............................................ 13
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Introduction ....................................................................................................................................................................13
Task: Plan Business Analysis Approach.................................................................................................................16
Task: Conduct Stakeholder Analysis.......................................................................................................................21
Task: Plan Business Analysis Activities..................................................................................................................28
Task: Plan Business Analysis Communication....................................................................................................36
Task: Plan Requirements Management Process.................................................................................................43
Task: Plan, Monitor, and Report on Business Analysis Performance..........................................................53
Technique: Expert Judgment .....................................................................................................................................58
Technique: Stakeholder Analysis .............................................................................................................................59
Technique: Communications Requirements Analysis ...................................................................................60
Technique: Variance Analysis .................................................................................................................................61
Technique: Replanning..............................................................................................................................................61
Technique: Change control system (includes time and reporting system).............................................62
Technique: Lessons Learned Process ...................................................................................................................62
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2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
2.12
2.13
2.14
Chapter 3: Requirements Management and Communication ................................... 64
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
3.10
3.11
Introduction ....................................................................................................................................................................64
Task: Manage Solution Requirements Scope .......................................................................................................66
Task: Manage Requirements Traceability.............................................................................................................68
Task: Maintain Requirements for Re-use ..............................................................................................................70
Task: Prepare Requirements Package ....................................................................................................................71
Task: Communicate Requirements .........................................................................................................................81
Technique: Manage Requirements Conflicts .......................................................................................................82
Technique: Requirements Presentation ................................................................................................................84
Technique: Requirements Review............................................................................................................................87
Technique: Formal Requirements Approval......................................................................................................93
Technique: Baselining................................................................................................................................................94
Chapter 4: Enterprise Analysis ................................................................................... 96
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
Introduction ....................................................................................................................................................................96
Task: Define the Business Need ..............................................................................................................................101
Task: Determine the Gap in Capabilities to Meet the Business Need .......................................................103
Task: Determine the Recommended Solution Approach ..............................................................................106
Task: Define the Solution Scope .............................................................................................................................109
Task: Develop the Business Case ............................................................................................................................112
Technique: Competitive Analysis and Benchmark Studies ..........................................................................117
Technique: Decision Analysis.................................................................................................................................118
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4.9 Technique: Decomposition ......................................................................................................................................119
4.10 Technique: Economic Models and Benefit Analysis......................................................................................120
4.11 Technique: Enterprise Architecture....................................................................................................................121
4.12 Technique: Estimating Techniques.....................................................................................................................122
4.13 Technique: Feasibility Analysis.............................................................................................................................123
4.14 Technique: Gap Analysis.........................................................................................................................................125
4.15 Technique: Goal Analysis........................................................................................................................................125
4.16 Technique: Opportunity Analysis ........................................................................................................................126
4.17 Technique: Problem Analysis ................................................................................................................................127
4.18 Technique: SWOT Analysis ....................................................................................................................................130
Chapter 5: Elicitation ................................................................................................ 132
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Introduction ..................................................................................................................................................................132
Task: Prepare for Elicitation ....................................................................................................................................134
Task: Conduct Elicitation Activity .........................................................................................................................136
Task: Document Results of Elicitation Activity.................................................................................................137
Task: Confirm Elicitation Results...........................................................................................................................138
Technique: Brainstorming........................................................................................................................................138
Technique: Document Analysis ..............................................................................................................................140
Technique: Focus Group ...........................................................................................................................................141
Technique: Interface Identification.......................................................................................................................143
Technique: Interview................................................................................................................................................145
Technique: Observation ..........................................................................................................................................149
Technique: Prototyping...........................................................................................................................................151
Technique: Requirements Workshop.................................................................................................................153
Technique: Reverse Engineering ..........................................................................................................................156
Technique: Survey/Questionnaire .......................................................................................................................157
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5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
5.11
5.12
5.13
5.14
5.15
Chapter 6: Requirements Analysis ........................................................................... 161
6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
6.11
6.12
6.13
6.14
6.15
Knowledge Area Definition and Scope.................................................................................................................161
Task: Prioritize Requirements.................................................................................................................................163
Task: Organize Requirements .................................................................................................................................167
Task: Specify and Model Requirements ...............................................................................................................175
Task: Determine Assumptions and Constraints ...............................................................................................181
Task: Verify Requirements........................................................................................................................................183
Task: Validate Requirements...................................................................................................................................187
Technique: Business Rules........................................................................................................................................190
Technique: Data Modeling .......................................................................................................................................192
Technique: Event and State Modeling................................................................................................................195
Technique: Indicators, Metrics and Reporting ...............................................................................................197
Technique: Non-Functional Requirements ......................................................................................................202
Technique: Organizational Modeling.................................................................................................................203
Technique: Scenarios and Use Cases ..................................................................................................................207
Technique: Process Modeling................................................................................................................................209
Chapter 7: Solution Assessment and Validation...................................................... 214
7.1
7.2
7.3
7.4
Introduction ..................................................................................................................................................................214
Task: Assess Proposed Solution..............................................................................................................................219
Task: Allocate Requirements ...................................................................................................................................222
Task: Determine Organizational Readiness .......................................................................................................226
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7.5
7.6
7.7
7.8
7.9
7.10
7.11
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Task: Define Transition Requirements ................................................................................................................230
Task: Validate Solution ..............................................................................................................................................233
Task: Evaluate Solution Performance...................................................................................................................236
Technique: Defect and Issue Reporting ...............................................................................................................240
Technique: RFI, RFQ, RFP .........................................................................................................................................243
Technique: Structured Walkthrough..................................................................................................................245
Technique: User Acceptance Testing (UAT) ....................................................................................................248
Chapter 8: Underlying Competencies ...................................................................... 253
Introduction ..................................................................................................................................................................253
Analytical Thinking and Problem Solving...........................................................................................................255
Behavioral Characteristics........................................................................................................................................257
Business Knowledge ...................................................................................................................................................259
Communication Skills................................................................................................................................................262
Interaction Skills ..........................................................................................................................................................264
Software Applications ................................................................................................................................................267
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8.1
8.2
8.3
8.4
8.5
8.6
8.7
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Chapter 1: Introduction
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Chapter 1: Introduction
1.1
What is the Business Analysis Body of Knowledge?
The Business Analysis Body of Knowledge® is the sum of knowledge within the
profession of Business Analysis and reflects what is considered currently accepted
practice. As with other professions, the body of knowledge is defined and enhanced by
the business analysis professionals who apply it. The BABOK® describes Business
Analysis areas of knowledge, their associated activities and tasks and the skills
necessary to be effective in their execution.
This guide provides a basic reference for anyone interested in the profession of Business
Analysis. This includes, but is not limited to:
Senior Executives
•
Managers of Business Analysis Professionals
•
Business Analysis Professionals
•
Project managers
•
Educators and Trainers teaching Business Analysis and related topics
•
Consultants and other specialists in Business Analysis
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The primary purpose of this guide is to identify the Business Analysis Knowledge Areas
that are generally recognized and accepted as good practice. The Guide provides a
general overview of each Knowledge Area and the list of activities and tasks associated
with each.
The BABOK is intended to describe and define business analysis as a discipline, rather
than define the responsibilities of a person with the job title of business analyst (which
may vary significantly between organizations). Business analysis may be performed by
people with job titles such as systems analyst, process analyst, project manager, product
manager, developer, QA analyst, business architect, or consultant, among others.
1.1.1
Purpose of the Public Review Draft
This document represents a complete draft of version 2 of the knowledge areas
contained in the Guide to the Business Analysis Body of Knowledge. This draft is being
made available to the business analysis community to gather feedback on the content
and quality of this material in order that the IIBA™ may assess the current state of the
draft and make decisions about which changes should be included in the final release of
version 2.
The public review will be conducted between March 31, 2008 and May 15, 2008. During
this time, this draft of the BABOK will be available for download from the IIBA’s website
at http://www.theiiba.org/BABOK2. We ask that members of the business analysis
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Chapter 1: Introduction
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community or those with an interest in business analysis, whether or not they are
members of the IIBA, provide the IIBA with feedback regarding the quality and content
of this draft at http://www.theiiba.org/BABOK2/survey. The survey will request that
you provide us with a rating of the quality of each task, technique, and competency, and
provide you with an opportunity to suggest additional tasks and techniques that might
be missing from this draft. You may also provide feedback directly to bok@theiiba.org,
although we regret that we will be unable to respond directly to such feedback.
Following the completion of the public review, the IIBA will conduct additional surveys
to assess the importance of each task and technique to the business analysis
community in order to make a final determination of the content that will be included
in the final draft.
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In conjunction with the public review, we are conducting practitioner and expert
reviews which will provide us with additional qualitative feedback on the content and
quality of this release. When all of the reviews are complete, we will begin revising the
text of the BABOK to include the changes suggested by the community, with the final
release of version 2 targeted for the third quarter of 2008. The CBAP™ exam will continue
to be based on version 1.6 until the final release of version 2. Once version 2 is generally
available, the IIBA will announce a date for conversion of the exam.
In addition to addressing issues identified through this feedback process, the final draft
will require:
Elimination of overlapping content between tasks or techniques, or gaps in
coverage
•
Revision of inputs, outputs, and stakeholders to ensure that a consistent listing
is used throughout
•
Editing and revision of the draft content to improve readability and consistency
•
Addition of diagrams and other materials to assist understanding of the content
•
A substantially expanded introduction with additional content on the
profession of business analysis, and how the BABOK applies to different
methodologies and domains
•
Techniques that apply to a single task will be merged with those tasks,
•
Stand-alone techniques will be placed in a separate section
•
A complete glossary of terms
•
A bibliography of works consulted during development of the BABOK
•
A description of the major changes included in this release from 1.6
•
A complete listing of all contributors to the BABOK
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1.1.2
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Copyright Notice and Trademark Information
This publication is ©2008 by the International Institute of Business Analysis. All rights
reserved.
NOTICE: This document is provided to the business analysis community by the IIBA
for the purpose of collecting feedback and review information in order to improve the
quality of this work. The IIBA does not warrant that it is suitable for any other purpose
and makes no expressed or implied warranty of any kind and assumes no responsibility
for errors or omissions. No liability is assumed for incidental or consequential damages
in connection with or arising out of the use of the information contained herein.
BABOK and Business Analysis Body of Knowledge are registered trademarks owned by
the International Institute of Business Analysis.
Certified Business Analysis Professional, CBAP and the CBAP logo are certification
marks owned by the International Institute of Business Analysis.
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IIBA, the IIBA logo, the IIBA chapter logo, the IIBA Associate Sponsor logo, the IIBA
Corporate Sponsor logo, the IIBA Industry Sponsor logo, EEP, the EEP logo and the IIBA
member logo are trademarks owned by the International Institute of Business Analysis.
PMI and PMBOK are registered trademarks of the Project Management Institute, Inc.
which are registered in the United States of America and other nations.
Rational Unified Process and RUP are registered trademarks of International Business
Machines Corp.
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TOGAF is a trademark of The Open Group in the US and other countries.
Zachman Framework for Enterprise Architecture is a trademark of the Zachman
Institute for Framework Advancement.
No challenge to the status or ownership of these or any other trademarked terms
contained herein is intended by the International Institute of Business Analysis.
1.2
What is Business Analysis?
Business analysis is the set of tasks and techniques used to work as a liaison among
stakeholders in order to understand the structure, policies, and operations of an
organization, and recommend solutions that enable the organization to achieve its goals.
1.2.1
Business Analysis as a Profession
The IIBA is an organization that is dedicated to advancing the professionalism of its
members as well as the business analysis profession itself. IIBA recognizes the
important contributions business analysts make to organizations every day. As the
governing body, IIBA is seeking to establish common standards of knowledge within the
BA profession and is committed to work with practitioners around the globe to
continually add to those standards through education, research, and the sharing of
effective tools and techniques. A universally recognized certification is the first step
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towards creating a profession unique to the functions of business analysis. Establishing
a certification for the profession will create a common expectation by organizations of
the skills and knowledge they will receive from certified business analysts.
1.2.2
Relationships to Other Disciplines
While many people working as business analysts specialize in the business analysis role,
it’s common for them to act as a “generalizing specialist” and fill other necessary roles
on a project team. The Guide to the Business Analysis Body of Knowledge does not
address the skills, competencies and knowledge required to fill those other, related
professions. Those professions include:
•
Product management
•
Project management
•
Quality assurance
•
Software development/engineering
•
System architecture
•
Training
•
User experience and information architecture
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Organizational development and change management
Requirements and Solutions
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1.3
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A solution meets a business need, by solving problems or allowing the organization to
take advantage of an opportunity. A solution can be subdivided into components,
including the information systems that support it, the processes that manage it, and the
people who operate it. Business analysis helps organizations to define the optimal
solution for their needs, given the set of constraints (including time, budget,
regulations, and others) under which that organization operates.
1.3.1
Scope
The term “scope” is used to mean a number of different things, but two definitions
predominate:
•
Solution scope is the set of capabilities a solution must support to meet the
business need.
•
Project scope is the work necessary to construct and implement a particular
solution.
When the BABOK refers to “scope”, the solution scope is meant unless the document is
explicitly addressing the project scope. The definition and management of the solution
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scope is central to business analysis, and differentiates it from project management
(which is concerned with the project scope).
1.3.2
Requirement
A requirement is:
1. A condition or capability needed by a stakeholder to solve a problem or achieve an
objective.
2. A condition or capability that must be met or possessed by a solution or solution
component to satisfy a contract, standard, specification, or other formally imposed
documents.
3. A documented representation of a condition or capability as in (1) or (2).
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As implied by this definition, a requirement may be unstated, implied by other
requirements, or directly stated and managed. The elicitation, analysis, and
communication of requirements, with the objective of ensuring that they are visible to
and understood by all stakeholders, is central to the discipline of business analysis.
Requirement Levels
For the purposes of the Business Analysis Body of Knowledge, the following levels of
requirements have been defined:
Business Requirements are higher-level statements of the goals, objectives, or
needs of the enterprise. They describe such things the reasons why a project is
initiated, the things that the project will achieve, and the metrics which will be
used to measure its success.
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Stakeholder Requirements are statements of the needs of a particular
stakeholder or class of stakeholders. They describe the needs that a given
stakeholder has and how that stakeholder will interact with a solution.
Stakeholder Requirements serve as a bridge between Business Requirements
and the various classes of solution requirements.
•
Solution Requirements describe the characteristics of a solution that meets the
business requirements and stakeholder requirements. They are frequently
divided, particularly when the requirements describe a software solution, into:
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Functional Requirements describe the behavior and information that
the solution will manage. They describe capabilities the system will be
able to perform in terms of behaviors or operations – a specific system
action or response.
o
Non-functional Requirements capture conditions that do not directly
relate to the behavior or functionality of the solution, but rather describe
environmental conditions under which the solution must remain
effective or qualities that the systems must have. They are also known as
quality or supplementary requirements.
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Implementation requirements describe capabilities that the solution must have
in order to facilitate transition from the current state of the enterprise to the
desired future state, but that will not be needed once that transition is complete.
They are further described in the Solution Assessment and Validation KA.
1.4
Structure of BABOK 2.0
1.4.1
Task
A task is an essential piece of work that must be performed as part of business analysis.
Tasks may be performed formally or informally. The definition of the task should be
universally applicable to business analysis efforts, no matter what type of initiative it is.
It does not mean that it is done frequently or that most BAs will necessarily perform the
tasks.
A task must have the following characteristics:
A task accomplishes a result in an output that creates value—that is, if we
perform a task we agree that something useful has been done
•
A task is complete—in principle, successor tasks that make use of outputs
should be able to be performed by a different person.
•
A task is a necessary part of the purpose of the KA to which it belongs.
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Tasks are not necessarily performed at a particular time in the lifecycle of a project.
Even lifecycles with clearly defined phases will require tasks from most if not all KAs to
be performed in every phase. Iterative or agile lifecycles may require that tasks in all
KAs be performed as close to simultaneously as possible. Tasks may be performed in
any order, as long as the necessary inputs to a task are present.
Technique
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Relationship to Tasks
Techniques describe how tasks are performed under specific circumstances. A task may
have none, one, or more related techniques. A technique must be related to at least one
task.
The techniques described in the BABOK are intended to cover the majority of
techniques used by the business analysis community at this time. Business analysts are
expected to apply their experience and best judgment in determining which techniques
are appropriate to a given situation, and this may include techniques that are not
described or mentioned in the BABOK. As our field evolves, we expect that techniques
will be added, changed, or removed.
.2
Multiple KAs
Techniques frequently apply to multiple KAs. In this case there are two options:
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•
If the technique applies to significantly more tasks in one KA than any others, it
will be described there.
•
If the technique applies to a similar number of tasks, it will appear in the first
KA in which it is described.
Input/Output
An input represents the information necessary for a task to begin. Inputs should not be
optional (at least not as the basic definition)—if something is merely helpful we do not
define it as an input.
Inputs may be:
•
Explicitly generated outside the scope of business analysis (e.g., a project plan).
•
Generated by a business analysis task. In this case the input is maintained by
the BABOK task that created it.
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An output is a necessary result of the work described in the task. Outputs should in
general be produced by one and only one task. In other words, we should avoid the
listing an output as simply being updated by a task—the output should actually be
transformed or change state as a result. A particular output should be created and
maintained by a single task, although a task can have multiple outputs.
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Outputs may be produced at any level of formality, from verbal discussion with affected
stakeholders to being captured in a software tool and placed under strict change
control. The form of an output is dependent on the type of initiative underway,
standards adopted by the organization, and best judgment of the business analyst as to
an appropriate way to address the information needs of key stakeholders.
There is no assumption that the presence of an input or an output means that the
associated deliverable is complete and/or final. The I/O only needs to be sufficiently
complete to allow successive work to begin.
1.4.4
Knowledge Area
A knowledge area groups together a related set of tasks and techniques. The Body of
Knowledge is not a methodology. While it defines the activities, tasks and knowledge
that a business analysis professional needs to know, it does not do so from the
perspective of prescribing an order or sequence.
Specifically, the knowledge areas do not define a business analysis methodology. They
do define what the BA needs to know to work within any analysis process or overall
solutions development methodology. While the flow between tasks and knowledge
areas may appear to follow a well-defined and progressive sequence, this structure was
primarily developed for pedagogical purposes. In reality, business analysts are likely to
find themselves performing tasks in all knowledge areas in rapid succession, iteratively,
or, in the case of a requirements workshop, simultaneously!
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By looking at the following picture, however, we understand the relationships between
the areas of the Body of Knowledge and the broader world that business analysis fits
into.
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Business Analysis Planning and Monitoring is the knowledge area that covers how
we determine which activities are necessary to perform in order to complete a business
analysis effort. It covers identification of stakeholders, selection of business analysis
techniques, the process we will use to manage our requirements, and how we assess the
progress of the work in order to make necessary changes. Business analysis planning is
a key input to the project plan, and the project manager is responsible for organizing
and coordinating business analysis activities with the needs of the rest of the project
team.
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Requirements Management and Communication describes how we manage
conflicts, issues and changes and ensure that stakeholders and the project team remain
in agreement on the solution scope. Depending on the complexity and methodology of
the project, this may require that we manage formal approvals, baseline and track
different versions of requirements documents, and trace requirements from origination
to implementation.
Enterprise Analysis describes how we take a business need, refine and clarify the
definition of that need, and define a solution scope that can feasibly be implemented by
the business. Here we will talk about problem definition and analysis, business case
development, feasibility studies, and the definition of a solution scope.
Elicitation describes how we work with stakeholders to find out what their needs are
and ensure that we have correctly and completely understood their needs.
Requirements Analysis describes how we progressively elaborate the solution
definition in order to enable the project team to design and build a solution that will
meet the needs of the business and stakeholders. In order to do that, we have to analyze
the stated requirements of our stakeholders to ensure that they are correct, assess the
current state of the business to identify and recommend improvements, and ultimately
verify and validate the results.
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Solution Assessment and Validation covers the role of business analysis once the
project team is ready to propose a solution. It describes how we assess proposed
solutions to determine which solution best fits the business need, identify gaps and
shortcomings in solutions, and determine necessary workarounds or changes to the
solution. It also describes how we assess deployed solutions to see how well they met
the original need in order to enable businesses to assess the performance and
effectiveness of projects.
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Underlying Competencies describes the behaviors, knowledge, and other
characteristics that support effective business analysis.
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Chapter 2: Business Analysis Planning & Monitoring KA
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Chapter 2: Business Analysis Planning and Monitoring
2.1
Introduction
2.1.1
Knowledge Area Definition and Scope
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The Business Analysis Planning and Monitoring Knowledge Area defines the tasks
associated with the planning and monitoring of business analysis activities throughout
the requirements process. The Business Analyst (BA) helps to identify stakeholders,
helps define roles and responsibilities, develops estimates for business analysis tasks,
plans requirements communications, plans how requirements will be approached,
traced, and prioritized, determines what requirements process will be used, and
determines the metrics that will be used for monitoring the business analysis work. In
addition, this Knowledge Area provides for monitoring and reporting on work
performed to ensure that requirements work produces the expected outcomes. If not,
the business analyst must take corrective action to meet stakeholder requirements and
expectations.
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These business analysis activities are typically closely related to the project
management activities, making it essential for the business analyst to work closely with
the project manager (PM). Project Management Institute’s A Guide to the Project
Management Body of Knowledge® (PMBOK®) outlines many tools and techniques that can
be used by the business analyst. Examples include tools and techniques for estimating
activities, planning communication, and developing quality metrics. Use of these tools
and techniques will help ensure alignment between the requirements plan and the
overall Project Management Plan.
Because the project manager and the rest of the project team rely on the business
analyst (BA) to provide clearly defined requirements deliverables for the project, the BA
needs to assist the PM in planning and monitoring the tasks associated with the
business analysis effort. To that end, the business analyst considers the many facets of
requirements planning and ensures that the right amount is done. Working closely with
the project manager, as well as other stakeholders, the business analyst recommends an
approach and the associated deliverables appropriate for the project. BAs assist in
ensuring that:
•
All necessary requirements stakeholders are identified and properly
represented during the requirements planning process.
•
The most appropriate activities related to the requirements process are
planned.
•
The nature and importance of business analysis work is understood by key
stakeholders.
•
The communications relating to business analysis work are planned and reflect
stakeholder preferences.
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Chapter 2: Business Analysis Planning & Monitoring KA
The recommended requirements process is appropriate to the project.
•
Traceability is appropriately structured to ensure that each requirement adds
business value and is tracked throughout the project.
•
The attributes that describe the requirements are determined at the beginning
of the project or project phase and captured throughout the business analysis
work.
•
How the requirements are prioritized during execution is planned for the
project or project phase.
•
The BA or BA team can effectively monitor and react to requirements
challenges and slippage.
•
Reporting on the health of business analysis activities is clear, timely, and
accurate.
Inputs
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Organizational Standards
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Identified need
•
Stakeholder list
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Stakeholder roles and responsibility designation
•
Business Analysis Plan(s)
•
Organizational Performance Standards
•
Actual Performance Metrics (optional)
•
Requirements Management Plan
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2.1.2
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2.1.3
Tasks
2.2
Plan business analysis approach
2.3
Conduct stakeholder analysis
2.4
Plan business analysis activities
2.5
Plan business analysis communication
2.6
Plan requirements management process
2.7
Plan, monitor, and report on business analysis performance
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Chapter 2: Business Analysis Planning & Monitoring KA
2.1.4
15
Techniques
•
•
•
Stakeholder analysis, such as:
o
Stakeholder influence analysis
o
Stakeholder role analysis
Data collection methods, such as:
o
Networking
o
Interviews
o
Decomposition
Estimating techniques, such as:
Analogous
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Bottom up
o
Three-point estimate
o
Delphi
o
Rolling wave
o
Parametric
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o
o
Expert judgment
o
Historical analysis
o
Vendor bid analysis
•
Communications requirements analysis
•
Communications media analysis
•
Change control system (process for changing the requirements baseline,
authorization levels for approval, tracking process to recognize changes)
•
Configuration management system to establish how changes to the product
deliverables and versions will be controlled, changed, approved and
documented.
•
Traceability system including such things as:
o
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Numbering structure
o
Hierarchy structure
o
Requirements for traceability linkages
o
Guidelines for level of granularity
o
How to find orphan elements and inconsistencies
o
Complexity analysis
o
Templates
o
Who, when and how traceability will be maintained
•
Time and cost reporting systems (to capture the actuals)
•
Variance analysis
•
Performance information gathering, compilation, and presentation
•
Replanning
•
Process analysis
Outputs
Stakeholder list
DR
•
AF
T
2.1.5
o
16
•
Stakeholder roles and responsibility designation
•
Business Analysis Communication Plan
•
Requirements Management Plan
•
BA Performance Assessment
•
Lessons Learned
•
Process improvement recommendation
•
Business Analysis Plan
2.2
Task: Plan Business Analysis Approach
2.2.1
Purpose
How the business analysis work is planned depends on the approach that will be taken.
Some organizations have methodologies which dictate the approach, others do not. The
purpose of this task is to plan how the business analysis work will be approached. Much
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of the planning cannot be accomplished without determining which approach (see
introduction for a discussion of Waterfall, Incremental, and Agile approaches). Until the
approach is known, we will not be able to fully understand such things as:
The nature of the work that will be completed in each of the Knowledge Areas.
•
Which deliverables will be produced
•
Which tasks that will be completed
•
Which techniques will be used to elicit requirements
•
The content and format of the requirements
•
The level of detail and formality required
•
The method for prioritizing requirements
•
The metrics that will be used to measure the business analysis work
AF
T
2.2.2
•
Description
DR
This task describes how we plan the appropriate approach that will be taken for
completing the business analysis work for a particular initiative. It describes how we
determine what life cycles and methodologies are currently in place in the performing
organization for which types of projects, how to recommend an appropriate approach if
none exists, which stakeholders need to be involved in the decision, who will be
consulted with and informed of the approach, and the rationale for using it.
There are multiple established ways to approach business analysis work, ranging from
the traditional Waterfall approach to the use of more recent Agile techniques. Elements
from different approaches may be combined; however only a subset of all possible
combinations will be viable for the particular organizational environment in which a
project is being conducted.
The business analyst reviews any existing organizational process assets, including
standards, guidelines, and processes relating to the current initiative. These may
suggest or dictate which approach to use. If none exist, the business analyst works with
the appropriate stakeholders, such as the project management office (PMO)
representative(s) and project manager to determine how the work will be completed.
2.2.3
Inputs
•
Defined Business Problem/Opportunity
•
Organizational Standards
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18
Elements
The two approaches that have been considered in the Elements sections below are
Waterfall and Agile. Because both Waterfall and Agile approaches can be done
incrementally, an Incremental process, as a separate approach, is not discussed.
.1
When the business analysis work occurs
When the business analysis work occurs varies by the approach that has been chosen.
Specifically:
Waterfall. With the Waterfall process, most business analysis work occurs at the
beginning of the project or during one specific project phase. The exact name of the
phase varies by the specific methodology, but the main focus of the phase includes such
activities as eliciting, analyzing, and communicating the requirements, as well as
reporting on the status of the business analysis activities work for the project. In general
there is more formality with the Waterfall approach.
.2
AF
T
Agile. On some Agile projects enough of the business analysis activities occur in an
initial project phase to produce a list of requirements, which are analyzed and
developed iteratively. On others, there is less work completed in the beginning of the
project, and business analysis activities can occur iteratively throughout the project.
Formality and level of detail of the business analysis work
DR
Waterfall. This approach typically calls for a significant amount of detail when
completing the business analysis work. Commonly there is a formal requirements
specification that is produced at the end of this project phase, with detailed information
about the requirements. The specific content and format of the requirements document
can vary, depending on the organizational methodologies and/or processes, and
templates.
Agile approaches favor focusing on a working solution over documenting that solution.
Requirements documentation is often limited to a prioritized requirements list.
Additional documentation may be created at the discretion of the team. Note that the
relative lack of requirements documentation does not equate to a lack of understanding
regarding the requirements among the team, since the understanding of the
requirements is demonstrated through mechanisms other than a formal, written
document.
.3
Requirements prioritization
Waterfall. Requirements are often prioritized at the end of the project phase. Although
a broad-brush prioritization using general categories, such as high medium, low are
sometimes applied as requirements are identified, determining which are in or out of
scope usually occurs at the end of the phase. In addition, prioritization tends to be
completed with more formality.
Agile. The requirements on the requirements list are prioritized, estimated at a high
level, and the most important requirements from a technical and business perspective
are selected for the first/next increment. Once the requirements have been assigned to
the increment, those specific requirements for the increment are drilled down to a
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lower level of detail. This general process repeats each time one increment ends and
another begins. The distribution of business analysis work load is spread more or less
evenly throughout the project.
.4
How change is handled
Changes to requirements may occur at any time during the project. The process for
handling changes is different for each approach.
Waterfall. Each change is often handled as a ‘mini project,’ complete with
requirements gathering, estimates, design, etc. Changed requirements often mean
changes to the project baselines and are usually incorporated into the overall project
management plan.
Many organizations have a formal process which includes a request for change, a
change log that tracks the changes that have been received, and an analysis of the
impact of the change not only to the project, but also to other business and automated
systems.
AF
T
Agile. The Agile approach work on the premise that it is difficult to identify all
requirements at the beginning of a project. Agile approaches build change into their
core processes. Change is documented by maintaining and comparing the requirements
lists at the end of each increment. New and removed requirements are noted, as are
changes in priority for each requirement, the estimates for each requirement, and the
assignment of requirements to increments.
.5
Communication with stakeholders
DR
Communications may be written or verbal, formal or informal.
Waterfall. The communication between stakeholders and the project team tends to be
more formal. Much of the communication of the actual requirements is in writing, and
often uses pre-defined forms requiring signatory approvals.
Agile projects tend to focus more on frequency of communication than on formal
documentation. Official documentation is often in writing, but informal
communication takes precedence over more formal written communication. Standard
good business practices i.e. meeting agenda, meeting minutes remain in force.
.6
Final considerations for selecting the business analysis approach
In selecting the appropriate approach, the complexity of the project should be taken
into consideration. Such factors, as those listed below, will affect the approach chosen.
As any of these project attributes increase, the level of project complexity also increases,
which in turn increases the need for more formal communication and coordination.
While Agile projects can scale to large, complex projects, the Waterfall approach may be
more appropriate for such projects.
•
number of stakeholders
•
number of business areas impacted
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number of business systems impacted
•
amount and nature of risk
•
uniqueness of requirements
•
number of technical resources required
20
Some projects, such as government projects or projects where the final product carries
a high risk if produced incorrectly (e.g. pharmaceuticals and aircraft), require a high
level of control and documentation. Because documentation and control are strengths
of the waterfall approach, it will better lend itself to supporting such projects.
Note that the level of rigor used should be appropriate to the specific project. If more
rigor is applied to a project than is required for the project characteristics, there is a risk
that additional time and money will be spent that is not needed.
AF
T
Below are additional factors that should be weighed when planning the approach that
will be taken during business analysis:
Corporate culture/environment/history
The corporate culture and environment will have a major impact on the approach
chosen. If the organization’s process requires either a Waterfall or Agile approach, it will
be difficult to change the organization’s mindset,
DR
Level of uncertainty in requirements
Agile methodologies, by design, are designed for the evolutionary uncovering of
requirements. As such, they are suitable for projects where the level of requirements
uncertainty and the probability of requirements change are high. Waterfall
methodologies can work well where the requirements uncertainty is lower.
The level of requirements uncertainty is partly dependent on the subject domain of the
project. For example, marketing and research projects tend to have a higher
requirements uncertainty, while accounting and finance projects tend to have a
relatively lower level of requirements uncertainty.
Length of project/turnover of personnel
The length of a project can affect the approach chosen. In general, the longer the project
continues, the greater the likelihood there will be some level of personnel turnover.
Under such circumstances, increased documentation is desirable in order to ensure
project knowledge and minimize ramp-up time for new project members in the later
project stages. Waterfall is more likely to provide the needed level of documentation
required for knowledge transfer than Agile.
2.2.5
Techniques
•
Expert Judgment
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21
Stakeholders:
•
Business Analyst
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Sponsor
Task: Conduct Stakeholder Analysis
2.3.1
Purpose
AF
T
2.3
This task covers the identification of stakeholders who may be impacted by a proposed
initiative or who share a common business need. This task includes determining
appropriate stakeholders for the project or project phase, and analyzing stakeholder
influence, authority approve, sign off, (veto), and project attitude.
2.3.2
Description
DR
Stakeholder analysis requires that the business analyst:
.1
Identify and document all team roles relating to requirements-related
activities
During this activity, the Business Analyst works closely with the Project Manager in
identifying stakeholders for the business analyst work, in identifying, understanding,
and documenting team roles and responsibilities for the entire spectrum of business
analysis activities. The BA will be involved with roles and activities related to business
analysis work, while the PM is concerned with all project roles and responsibilities.
It is important for the Business Analyst to understand the difference between a role and
a job title. Different organizations will certainly have varied job position titles involved
in their organizations and on their projects. The roles that are discussed in this section
may be titled very differently in different organizations, so the Business Analyst must
take into account the work performed, not the job title, when reading this section and
executing these tasks on their projects.
.2
Assist in the identification of requirements stakeholders
Once the roles and responsibilities required for the project or project phase have been
identified, the BA may recommend stakeholders to fill those roles. While obtaining
resources for the project is within the project manager’s domain, the BA can be called
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upon to help. The BA is often familiar with subject matter experts and technical staff
who can add significant value to the business analysis effort. Once the stakeholders
have been identified, the BA may assist the PM in documenting roles and
responsibilities in a responsibility assignment matrix, such as a RACI matrix. However,
because creating such a matrix is primarily a PM task, we have not described it in this
section.
.3
Categorize stakeholders participating in business analysis work
Once stakeholders have been identified, it may be useful to categorize them. There are
many different ways to categorize stakeholders, some of which are discussed later in
this chapter.
.4
Analyze stakeholder influence on the project and within the
organization related to their attitude toward the project or project
phase.
.5
AF
T
The importance of stakeholder influence and attitude towards the project or project
phase should not be minimized. Influential stakeholders who recognize the project
benefits and promote its value can support the project manager and BA in numerous
ways. The BA needs to recognize both positive and negative behaviors which might
determine how much buy-in the business analyst can expect and which could impact
the outcome of the project or project phase.
Assist in determining authority levels of the identified stakeholders
2.3.3
DR
Once the stakeholders have been identified and assigned their roles and responsibilities,
the BA can assist the PM and the stakeholders themselves in determining their level of
authority for the project or project phase. Since BAs will identify the business analysis
deliverables and planning the activities as well as the process for handling changes,
their input can be invaluable.
Inputs
Organizational Standards and Process Assets. Standards and Organizational Process
Assets (OPA) are usually comprised of such things as actions that must be taken and/or
forms that must be completed suggested or prescribed methodologies, templates, and
project authorization guidelines. They may be mandated or expressed in the form of
guidelines. An example of an OPA is an organization’s process and templates for
managing projects, including how projects are initiated. Organizational Process Assets
are defined in Project Management Institute’s A Guide to the Project Management Body
of Knowledge (PMBOK).
Identified need from sponsor. This need can be in the form of a formal Project
Charter, a document which sanctions the project and provides authority to the project
manager. The Project Charter addresses the business need for which the project is
undertaken, how the project aligns with the strategic direction of the organization, and
a high-level description of the end product, service, or result of the project. The Project
Charter is further defined in the (PMBOK). This need identified by the sponsor can also
be expressed informally, either in writing or verbally, and while the above information is
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helpful (business need, alignment with the business, and description), it may not always
be expressed.
2.3.4
Elements
Requirements stakeholder roles should be identified early in the project to help ensure
timely delivery of requirements deliverables. Some individuals may be called on to play
a variety of roles on the same project, as well as on different roles on different projects.
.1
Identify and document team roles
The BA works with the project manager to assist in identifying and documenting roles
related to requirements definition. The BA may also be involved in assisting the PM in
creating a responsibility assignment matrix, such as the RACI, related to requirements
roles and responsibilities.
Some typical roles include, but not are limited to the following:
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
DR
AF
T
•
.2
•
Project Manager
•
Quality Assurance
•
Regulator
•
Sponsor
Assist in identifying stakeholders
Understanding who the stakeholders are and the impact of the project on them is vital
to understanding what needs, wants, and expectations must be satisfied to successfully
complete the project. Identifying the project stakeholders at the beginning of the
project is an important step that should not be overlooked or minimized. Stakeholder
interests that are not identified until later stages of the project can have a negative
impact on all areas of both the project and the end solution.
Because project requirements are based on stakeholder needs, wants, and expectations,
those that are uncovered either late in the project or not at all could require a revision
to requirements that changes or nullifies completed tasks or tasks already in progress,
increasing project costs and decreasing stakeholder satisfaction.
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Many people on the project have the responsibility for identifying stakeholders. The
sponsor identifies business subject matter experts to help with requirements definition.
Designated SMEs can recommend other business experts to assist in defining
requirements. The project manager and members of the technical and/or testing teams
can recommend stakeholders.
Who participates in which business analysis activities can vary from organization to
organization. For example, in some organizations, members of the technical team
attend requirements workshops to provide costs, technical effort, and information on
technical impacts. In other companies, no technical discussion is permitted during
these meetings. As another example, in some organizations, technical staff elicits
information requirements or participates in prototyping sessions. In others, the
business analyst completes these activities. While who performs the business analysis
work is not dictated, having it clarified before the work begins is essential.
.3
Categorize stakeholders
AF
T
Grouping stakeholders into multiple categories uncovers both commonalities and
uniqueness. These groupings may also assist the business analyst in other planning
tasks, such as planning requirements workshop based on stakeholders’ geographic
locations.
The Business Analyst can create a document, either formally or informally, listing each
stakeholder, stakeholder categories, and how each stakeholder is recognized within
each category. Examples of stakeholder categories are:
Influence required during requirements definition and influence of each
stakeholder within the organization. The PMBOK has defined influence as the
ability to get things done through other people. For a discussion of influence
analysis, see discussion below.
DR
•
•
Geographic locations can be useful for such things as planning elicitation
techniques, determining the most appropriate medium or media for elicitation,
for assigning business analysts to the effort, for determining the best way to
document requirements, for developing a communications plan, for reporting
activities against plan, for escalating issues, and for many other purposes.
•
Number and variety of direct end users in their constituency. Different
approaches, plans, reports, amount of formality, amount of documentation, all
can be customized based on the number of stakeholders each SME represents.
Stakeholders with fewer constituents may have less formality during business
analysis. For those stakeholders with large number of constituents or
representing those from different functional areas or divisions may require
more rigor.
•
Number of interfacing business processes and automated systems. The
planning for stakeholders who represent those performing complex, interfacing,
or overlapping business processes is different from those whose processes are
more discrete. Complex processes usually indicate that more rigor is required.
They can also be a source for identifying additional stakeholders, since those
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performing the interrelated processes are sometimes ignored. In addition,
categorizing stakeholders by the systems that support their business processes
can be useful when changes need to be made to those processes and systems.
Since not all stakeholders can or want to attend all requirements workshops,
they can be more easily persuaded if the workshop pertains to their process and
the associated automated system.
.4
Analyze stakeholder influence
Once stakeholders have been identified and categorized, the business analyst can study
the makeup of the team members who will be involved in the business analysis effort.
The BA can then analyze several factors that work together and which can greatly affect
the outcome of the project or project phase. These factors might include but are not
limited to:
•
Attitude towards:
The project or project phase. Do they believe in the project benefits?
Will the benefits affect them directly? Will the benefits be accrued
elsewhere? Are the perceived risks greater than the rewards?
AF
T
o
Attitude towards business analysis. Do they see the need to define their
requirements? Do they present solutions and expect the requirements
to be contained in that solution, making the need to spend time on
requirements unnecessary?
o
Attitude towards collaboration. Have they had success on previous
collaborative efforts? Does the organization reward collaboration? Is
the organization hierarchical in nature, rather than being team-based?
Are personal agendas the norm?
DR
o
•
o
Attitude towards sponsor. On cross-functional efforts, do all the SMEs
support the sponsor? Are there SMEs who would prefer another
sponsor?
o
Attitude towards PM and BA. Have both the PM and BA built trusting
relationships or have there been prior failed projects or project phases?
Influence. Because it is essential for BAs to build relationships and work
towards building trust, understanding the nature of influence and the influence
structures and channels within an organization can prove invaluable as they
plan for and execute business analysis activities. Understanding the influence
each stakeholder exerts on the project or project phase, as well as their attitude,
can help the BA to develop strategies for obtaining buy-in and collaboration.
Some factors relating to influence that the BA needs to consider are:
o
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Influence on the project. How much influence does the stakeholder
have on the project? For example, because sponsors obtain funding,
including resources, and make vital decisions, they usually exert more
than end-users.
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Influence in the organization. There are usually formal and informal
structures within organizations, and one’s title or job role, while it can
provide what is called authority or positional power, does not always
signal the real organizational influence. The business analyst should be
aware of the ways influence occurs in the organization, as it could
impact the business analysis activities.
o
Influence needed for the good of the project. The BA can analyze how
much influence is needed to make the project succeed compared with
the amount of influence the key stakeholders, like the project sponsor,
has. For example, on a large, complex project requiring many internal
and external resources, the project will need a sponsor with effective
relationships with the executives to ensure that adequate resources are
obtained. Projects that are smaller may require sponsors with less
influence. If there is a mismatch between the influence required and the
amount of influence the stakeholder has or is perceived to have, PM and
BA can develop risk plans and responses and other strategies that
might be needed to obtain the required level of support.
AF
T
o
o
.5
Influence with other stakeholders. Within most organizations there is
an informal way influence occurs. It is best to be aware of this informal
influence structure. For example, if there are stakeholders who consider
themselves project champions, they can be used to help convert those
who are less enthusiastic or outwardly hostile to the project outcome.
Assist in determining authority levels for business analysis work
DR
The business analyst can provide assistance in helping the business analysis team
decide which stakeholders will have authority during business analysis activities, in
relation to both business analysis work and product deliverables including who:
•
Approves the deliverables
•
Inspects and approves the requirements
•
Requests and approves changes
•
Approves the requirements process that will be used
•
Reviews and approves the traceability structure
•
Has veto power (individually or in a group)
Authority levels are discussed in detail at the end of the chapter.
2.3.5
Techniques
•
Stakeholder analysis, such as:
o
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o
•
2.3.7
Stakeholder role analysis
Data collection methods
o
Networking
o
Interviews
Stakeholders
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance
•
Regulator
•
Sponsor
AF
T
•
DR
2.3.6
27
Output
•
•
Stakeholder list, which can be documented in a variety of ways, including but
not limited to:
o
Names and titles of stakeholders
o
Category of stakeholder
o
Location of stakeholders
o
Special needs
Stakeholder roles and responsibility designation, which can be documented in a
variety of ways, including but not limited to:
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o
List of required roles
o
Roles and responsibilities matrix, such as RACI
o
Text documenting roles and responsibilities
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2.4
Task: Plan Business Analysis Activities
2.4.1
Purpose
28
This task will document the steps or requirements planning activities that must be
completed during business analysis. It will define each task, and will provide a
management tool for business analysis activities to measure the progress of each task.
The activities that are executed during the project phase and how they are executed will
determine the quality and timeliness of the requirements deliverables and ultimately of
the solution. The business analyst should select a complete set of requirements
activities that result in a clear, concise set of requirements on which the realization of
the solution can be based. The resource types required to complete each activity also
need to be defined.
•
Requirements Management and Communication
•
Enterprise Analysis
•
Elicitation
•
Requirements Analysis
•
Solution Assessment and Validation
DR
2.4.2
AF
T
To accomplish this, the Business Analyst will consider what activities need to be
undertaken to complete the appropriate end-to-end business analysis activities, which
consist of:
Description
In this task, the business analyst determines which activities are required to define the
solution to a business problem, how those activities will be carried out, the work effort
involved, and an estimate of how long the activities will take. The business analyst
provides input to the Project Manager, who develops the plans. This task includes
activities to:
•
Identify business analysis deliverables
•
Determine the scope of work for the business analysis activities
•
Determine tasks for the business analysis activities, considering the work that
will be needed in all of the Knowledge Areas: Requirements Management and
Communications Enterprise Analysis, Requirements Analysis, and Solution
Assessment and Validation. Detail will vary from Knowledge Area (KAs) to
Knowledge Area
•
Identify task dependencies, and interfaces between tasks
•
Develop estimates for business analysis work
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Regardless the methodology or the life cycle approach taken, and even when not
developing a formal planning document, the Business Analyst considers all deliverables
and activities related to requirements planning.
2.4.3
2.4.4
Input
•
Stakeholder list
•
Stakeholder roles and responsibility designation
•
Organizational Standards
Elements
.1
Identify business analysis deliverables
AF
T
Planning business analysis activities begins with defining the business analysis
deliverables, either formally or informally. A formal approach might include creating a
Business Analysis Scope Statement, which is a component of the overall project Scope
Statement and documents, among other things, the deliverables which will be
decomposed to create the Work Breakdown Structure described below. An informal
approach might include developing a list of business analysis deliverables, which could
be a list, a set of stickies, notes on a board, etc.
DR
When determining deliverables, the business analyst needs to think about the
appropriate deliverables for each knowledge area for the specific project or project
phase. Since each project is unique, it is important to review each of the KAs to
determine which deliverables are most appropriate. For example, on some projects,
there may be few deliverables in Enterprise Analysis and more in Requirements
Analysis. In others, the opposite might be true. Listing out deliverables by KAs reduces
the risk that some will be omitted, and helps ensure that estimates are realistic.
A few examples of business analysis deliverables are interview questions, meeting
minutes, use case diagrams, business analysis communication plan, and as-is/to be
business process models. For example, use cases may be included, but user interface
design may not, or prototypes to capture requirements are included, but user interface
development is not.
There are many ways to identify business analysis deliverables. Below are just a few
examples:
•
Hold one-on-ones or facilitated sessions with the project manager, sponsor, the
BA team, and key SMEs
•
Review project documentation
•
Review organizational process assets, such as methodologies and templates,
which may dictate which deliverables are required
•
Any combination of the above
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.2
30
Define the scope of work for the business analysis activities
The scope of the business analysis work comes from the business analysis deliverables
and becomes part of the overall project scope. The business analyst, in defining the
business analysis scope or work, works closely with the project manager to ensure that
the approved business analysis work is included in the overall project scope.
An important tool in both defining the scope of work as well as in developing estimates
is the work breakdown structure (WBS). There are different ways to break work down.
One is to break down the project into iterations, releases, or phases. Another is to break
deliverables into work packages. Another is to break activities into tasks. Both the
breakdown of deliverables and activities requires use of the technique of
decomposition, where larger pieces or work are broken into subsequently smaller and
smaller pieces, creating a hierarchy of work.
AF
T
Both work breakdown structures (deliverable and activity) and the technique of
decomposition are described further in PMI’s A Guide to the Project Management Body
of Knowledge © (PMBOK), where the breakdown of deliverables is called a WBS and the
breakdown of activities is called an Activity List.
The BA, to be in alignment with the project management plan, can use these same tools
and techniques not only in defining the business analysis scope, but also in estimating
business analysis activities.
Some considerations when developing both the scope of work and activities include:
DR
The requirements approach
Each of the requirements approaches will define the requirements process in different
ways and will have very significant impacts on the business analyst’s planning efforts.
Each will offer descriptions of the project phases, deliverables, and tasks that should be
included in the project and will greatly impact the requirements plan.
For example, the traditional waterfall method advocates gathering all requirements in
the beginning of the project; while in the Iterative/Agile approaches requirements may
be defined throughout the lifecycle. These differences will lead to different deliverables
and tasks being identified as well as different sequences and dependencies of tasks.
Examples of common requirements approaches include:
•
Waterfall
•
Incremental
•
Agile
These approaches are discussed in the Introduction to the BABOK .
Specific stakeholder preferences
Typically some stakeholders will exhibit individual behaviors and preferences and that
must be met in order to have a successful project. For example, one key stakeholder
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may prefer the use of process maps, which could influence the planning of business
analysis tasks related to this stakeholder. Another stakeholder may have some
experience using a particular technology and be in favor of its choice for the current
project, which might also influence the business analysis deliverables, tasks, and
estimates.
If these can be identified and factored into the business analysis planning process, the
project has a better chance of success.
Location
The Business Analyst must also consider the location of the key stakeholders on the
project. Some projects will have the stakeholders located in a single location while
others will have some of their key stakeholders dispersed over a wide area. These latter
projects may well involve increased complexity, which will have an impact on the
estimate of some activities and tasks in the project.
AF
T
Collocated: All key stakeholders are located in the same local geographic area. There
are no special location-related planning considerations for the BA involved in these
projects.
Dispersed: These more complex projects have some key stakeholders located in
different geographic regions or countries. The factors of distance, possible time
differences and cultural and language differences increase the complexity for business
analysis and will require analysis to identify and account for these differences.
DR
An example of the impact of this type of situation might be the necessity to have more
tele- or videoconferences rather than face to face meetings, due to the various locations
and the difficulty in scheduling. Or the organization’s desire to have at least one face-toface and the complexity of arranging such a meeting could result in additional tasks and
schedule lags (delays).
Another common situation involves an outsourced development project where the
development team is physically located many time zones away. This type of situation,
for example, will be accounted for during business analysis planning and might be
better served with more detailed requirements documentation and acceptance criteria,
more frequent review sessions or more detailed documentation.
The type of project or project phase to which the Business Analyst is assigned may
have a significant impact on the estimating process. For example, in a project to
purchase a new software package, the tasks will be different from an effort to develop a
new process. Different projects with different deliverables and tasks might include some
combination of the following:
•
Feasibility study
•
Process improvement
•
Organizational change
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New software development (in-house)
•
Outsourced new software development
•
Software maintenance
•
Software package selection
32
The differences in the business analysis planning activities in these different types of
projects will be significant; since the purpose of, objectives and tasks involved in the
business analysis work will be quite different.
.3
Determine tasks for the business analysis activities in the Knowledge
Areas: Enterprise Analysis, Elicitation, Requirements Analysis, Solution
Assessment and Validation.
AF
T
After the scope or business analysis work has been defined, each piece of work,
sometimes called a work package is assigned at least one and usually many activities,
which can be further broken into smaller and smaller tasks. This process is called
decomposition (see above). The goal of this decomposition is to identify tasks
associated with specific units of work that need to be completed in order for the
deliverable to be produced. This decomposition of activities and tasks creates the
Activity List, described above.
DR
For example, the activity of ‘Interview Stakeholders’ could be decomposed into subactivities: Prepare interview questions, interview stakeholders, document interview
responses. The sub-activity of interview stakeholders could be decomposed into the
tasks of setup meeting with stakeholder 1, interview stakeholder 1, setup meeting with
stakeholder 2, interview stakeholder 2.
The Activity List can be created in different ways, such as by:
•
Taking each deliverable, assigning the activities required to complete the
deliverable, and breaking each activity into tasks.
•
Dividing the project into phases, iterations, increments, or releases, identifying
the deliverables for each, and adding activities and tasks accordingly.
•
Using a previous similar project as an outline and expanding it with detailed
tasks unique for the business analysis phase of the current project.
The elements identified for each Activity List can but do not have to include:
•
Milestones, which while not tasks, are significant events in the business analysis
activities. Milestones are used to measure the progress of the project and
compare actual progress to earlier estimates. Milestones can be used as a time
to celebrate the completion or delivery of a major deliverable or section of
project work. An example of a major milestone of business analysis is the
stakeholders’ and sponsor’s approval of the requirements and/or other
mandatory deliverables defined by the project.
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•
Dependencies – Identify logical relationships, such as which activities have to
be completed before subsequent tasks can begin.
•
Optionally, assumptions – For each task, there may be factors or conditions
which are considered to be true. The BA can document these factors, and where
present estimates will be developed using these assumptions. This list of
assumptions helps determine effort.
The elements identified for each activity and task can but do not have to include:
Unique Number – to uniquely identify each task.
•
Activity/task description– labeled with a verb and a noun, the detailed tasks
comprise each activity or task.
•
Identifying resources, resource availability, begin and end dates, calendar
information, and activity cost is the work of the project manager and will not be
addressed here.
.4
AF
T
•
Develop estimates for business analysis work
Estimates are developed in conjunction with the project manager, other team members,
and according to the approved organizational process assets, including methodology
and templates for developing estimates. This estimate will provide the project team
with a tool for measuring the status and progress of each task.
Estimates can be developed using a variety of techniques. Some are listed below:
Analogous estimating is using a similar project as the basis for developing
estimates for the current project. It is used when little is known. Analogous
estimating is often used to develop a rough order of magnitude (ROM) estimate,
and is also known as “top-down” estimating. For example the business analyst,
from all that is known, thinks that the business analysis activities and time
frames are similar to those of a prior project and uses those. This is usually done
at the beginning of the project or project phase and more detailed estimates
follow as more is known.
•
Parametric estimating is the use of parameters, multiplied by the number of
hours. For parametric estimating to be useable, enough history has to be
available. With this type of estimating, the business analyst has done enough
work to determine which parameters can be used and how many there will be.
•
For example, the business analyst has determined that there will be ten use
cases developed. The BA also has history that indicates for each use case the
total hours that will be spent, in this case will be 20 hours. Using this technique,
the BA can multiply 10 x 20 to get a total, or 200 hours.
•
Bottom-up. Using this technique the BA has collected the deliverables,
activities, tasks, and estimates from all the involved stakeholders and rolls them
up to get a total for all the business analysis activities and tasks.
DR
•
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•
Rolling wave. This is a technique involving refinement of estimates. The BA can
estimate the details for the business analysis activities for the current iteration
or increment and provide an analogous estimate for the entire scope of work for
business analysis activities. As the end of the iteration approaches, the BA can
complete estimates for the next iteration and refine the initial estimate for all
the business analysis activities for the project.
•
Three-point estimates uses scenarios for:
o
The most optimistic estimate, or best-case scenario
o
The most pessimistic estimate, or worst-case scenario
o
The most likely estimate.
Vendor bid analysis. After submitting a Request for Proposal from vendors,
such as for commercial packages for software, the BA compares the returned
bids for reasonableness, schedule, and cost estimates, and chooses a vendor
based on known criteria.
•
Historic analysis uses history as a basis for estimating. It is similar to
analogous, but is used not only for the top-down estimate, but for the detailed
tasks as well. Historic estimates require prior project records, whether
maintained formally in a project repository or informally in individual project
documentation. In either case, this technique works best in organizations
where tracking actuals against estimates is an organizationally-accepted
process.
DR
AF
T
•
•
Expert judgment estimating relies on the expertise of those who have
performed the work in the past. These experts can be internal or external to the
project team or to the organization.
•
Delphi uses a combination of expert judgment and history. There are several
variations on this process, but they all include individual estimates, sharing the
estimates with experts, and having several rounds until consensus is reached.
An average of the three estimates is used. Sometimes the average is weighted by
taking the optimistic, pessimistic and four times the most likely, dividing by six
to get the average.
These and other techniques are further explained in PMI’s PMBOK in the chapter on
Time Management and Cost Management.
2.4.5
Techniques
•
Decomposition
•
Estimating techniques,
o
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Parametric
o
Bottom up
o
Rolling wave
o
Three-point estimates
o
Vendor bid analysis
o
Historic analysis
o
Delphi
o
Expert judgment
Stakeholders
Business Analyst
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
AF
T
•
DR
2.4.6
o
35
•
Quality Assurance.
•
Sponsor
Output
The business analysis plan is a subsidiary plan to the project management plan.
Elements of the business analysis plan can include:
•
Description of the scope of work
•
Deliverable Work Breakdown Structure
•
Activity List
•
Estimate for each activity and task
The Business analysis plan should be developed after considering all these knowledge
areas:
•
Enterprise Analysis
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•
Business Analysis Planning and Monitoring
•
Elicitation
•
Requirements Analysis
•
Solution Assessment and Validation
•
Requirements Management and Communication
2.5
Task: Plan Business Analysis Communication
2.5.1
Purpose
36
AF
T
A requirements communications plan documents the intentions of communications
about the result of business analysis activities. The BA documents and organizes the
coordination of the requirements communication activities, resulting in a
communications plan, which is developed to provide a basis for setting expectations for
business analysis work, meetings and other communications. The activities for
planning communications include but are not limited to:
•
Determine how best to receive, distribute, access, update, and escalate business
analysis information from project stakeholders
•
Determine the medium or media for communicating with each stakeholder
who will be involved with business analysis activities
2.5.2
DR
In addition, requirements can be presented in various formats. This task describes the
work required to decide which format(s) are appropriate for a particular project and its
stakeholders. Requirements should be presented in formats that are understandable for
the reviewer; they must be clear, concise, accurate, and at the appropriate level of detail.
Description
Planning the business analysis communications involves determining what information
the various stakeholders need regarding the results of business analysis and the forms it
should take (verbal, written, etc.). It includes considerations for, as well as constraints,
impacts, durability and tradeoffs of different communications media. It also addresses
appropriate media and associated constraints and impacts for global projects.
To develop the business analysis communications plan the BA should think about:
•
What needs to be communicated and what is the appropriate delivery method
•
Who is the appropriate audience
•
When the communication should occur
Additionally, the BA should be aware of the stakeholder needs and constraints for each
communication in terms of:
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2.5.4
•
Physical location/time zone of the stakeholders
•
Communication approach for the stakeholder
•
What types of communications will be required (e.g. status, anomalies, issues
and their resolution, risks, meeting results, action items, etc.).
•
What types of requirements will be elicited (business vs. functional, high level
vs. detailed) and how best to elicit them (see KA – Requirements Elicitation for
options)
•
How best to communicate requirements conclusions/packages, including
authority level (signoff authority, veto authority, or review only)
•
Time and resource availability constraints
Input
•
Stakeholder list
•
Stakeholder roles and responsibilities designation
•
Business Analysis Plan(s)
AF
T
2.5.3
37
Elements
.1
Identify each stakeholder’s communications needs & preferences
DR
Each stakeholder who reviews the planned communications may have different
communication needs. The Business Analyst must determine what level of detail,
language, and formatting is appropriate for each type of stakeholder and devise the best
way to effectively convey information. The following are some sample considerations:
•
Stakeholder preferences on the requirements. For example:
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o
Executive sponsors and management often want summaries and high
level requirements. Their primary goal is often to understand that the
solution meets the return on investment expectations in accordance
with their business plan.
o
Business SMEs need requirements that are written in business
language, and simple to understand and review. They must fully
understand each requirement in detail, since it is this group that will be
most affected by the solution implemented. In addition, implementers
of requirements will need very detailed descriptions of what success
criteria for the new procedures and processes must be met.
o
Technical partners will need to understand all the business
requirements, but will need very detailed information on the functional,
user interface and technical requirements in order to build the solution.
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o
Quality assurance analysts will need to understand the requirements so
that they can develop a detailed testing strategy to ensure that the
solution is built to meet the requirements.
o
External software and/or process vendors need detailed requirements
so that they can build software to meet them.
o
External hardware suppliers will need detailed technical interface
requirements to order to construct the proper network and security
protocols in accordance with corporate policies.
o
Verbiage is best for specifying textual information, such as the business
problem, and requirements descriptions. Diagrams and models are
useful for showing relationships between requirements components.
Geographic differences. The communications needed for a team that is
collocated might well be different from communications required for a project
with global stakeholders. For example, it is more difficult to have short, daily
team meetings, when the participants live in vastly different time zones, when
technology is not readily accessible, and where multiple, complex deliverables
with complex interfaces are developed simultaneously in different locations. In
addition, different techniques and media may be used to facilitate
geographically dispersed teams than those that are collocated. When planning
the communications, these must be taken into account.
•
Cultural considerations. Handling culturally diverse team members should also
be taken into account when planning communications. These cultural
considerations are important regardless of where the team members are
located. In addition to the obvious language barriers, there may be more subtle
differences that should be planned, including:
DR
AF
T
•
.2
o
Relationship to time. Some cultures view time as fixed (we spend, waste,
and save time), others as fluid.
o
Relationship to task completion. Some cultures complete tasks because
they have committed to the planned activities. Others complete tasks
primarily when trust and the human relationship have been built.
o
Relationship to contracts. Some cultures believe in the letter of the law,
others in the spirit of the contract. This difference might surface when
creating Requests for Proposal, for example.
o
Models, such as business process models, can help overcome language
barriers by eliminating the need for many textual descriptions.
Assess format options for each stakeholder
When planning which stakeholders will review the business analysis work, it is
important to consider which format option is the most appropriate communication
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vehicle for them. In order to present each requirement in an effective format, the
business analyst considers each stakeholder’s communication preferences.
For example, when documenting requirements, the business analyst needs to
understand that some models may not be appropriate for a non-technical audience
because the requirement may be documented in a diagram that is unfamiliar to the
stakeholder, and therefore, difficult to understand. The communications activities help
ensure that needs of the stakeholder audience are taken into account. It may
necessitate creation of multiple formats in order to convey the same requirement to
varied stakeholders.
AF
T
Business analysts can use various formats to document the results of business analysis.
During the Plan Communications task they need to determine which will be the most
effective for the project, taking into account the type of communication (status, issue
escalation, requirements package, etc.), the audience, the distance of the stakeholders,
the attitude towards documentation, and the organizational process assets
(methodology, requirements process, and templates). The Business analyst will work
within these guidelines and select the format that best conveys the information
effectively, often using a combination of formats. Some examples of ways to document
the requirements are:
Formal meeting minutes with decisions and action items vs. informal notes
•
Approval forms for formal signoff
•
Consistent status reporting forms
•
Models, such as diagrams - process workflows, entity relationship and process
decomposition diagrams, use cases, prototypes
DR
•
•
Text and textual templates
•
See the Knowledge Area Requirements Analysis for a list of requirements
documentation formats.
.3
Determine appropriate content for each stakeholder
In addition, the Business Analyst should keep in mind that while there are advantages
to constructing different formats to accommodate the unique needs of each
stakeholder, there are also disadvantages that result in maintaining multiple
requirements packages, status reports, and meeting documentation. The Business
Analyst should develop a plan that will help determine what communication vehicle to
use and content that needs to be included. The primary goal of the communications
plan is to help ensure that information is conveyed clearly and in an understandable
fashion to the audience. To help communications needs, the analyst should ask the
following types of questions:
•
What information is important to communicate? What is the appropriate level
of detail to include?
•
Is the information coming from or going to each stakeholder?
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•
What will the particular stakeholder understand based on the type of
constituency they represent and on that stakeholder’s preferred style of
communication or learning?
•
How does the business analysis work support the previous and subsequent
phases (i.e. testing, implementation) or project activities and deliverables to
facilitate traceability?
.4
Determine frequency required for each stakeholder for each
communication type
For each type of communication, the Business Analyst determines the frequency
required by various stakeholders. For example, when reporting the status of the
business analysis work, the BA determines how often a status report is sent. The
frequency can vary from stakeholder to stakeholder. For example, the frequency of
reporting business analysis status can be biweekly for the sponsor, weekly for the
business SMEs, biweekly for the technical partners, etc.
Assess the formality of communications
AF
T
.5
Planning communications requires taking into consideration the level of formality that
is needed for each business analysis effort. There is a spectrum of the formality that may
be required, which could vary from stakeholder to stakeholder, project phase to project
phase, work within a project phase, and requirements presentation, in which
requirements may be documented and presented.
Communications tends to be more formal under the following circumstances:
The project is very large and may be delivered in phases. The larger the project,
the more formal the requirements should be. This is because more stakeholders
are typically involved and more communication is required.
DR
•
•
The business area(s) involved are very complex
•
The technology employed, if any, is new
•
The project is considered to be mission critical
•
The executive sponsor and/or key stakeholders requires formality
•
The requirements are likely to be subject to regulatory review
•
The requirements will be presented to an outside organization and an RFQ/RFP
will be issued
In developing the communications plan, it may be helpful to distinguish between a
“work product” and a “deliverable.” Both are important to highlight in a
communications plan. A “work product” is a document or collection of notes or
diagrams that is used by the Business Analyst to organize and analyze the requirements.
The work product may or may not become a deliverable, although during different
phases of the requirements eliciting process, the Business Analyst may need to share
this information with stakeholders in order to clarify requirements or drive down to
more detail. Examples of work products might be:
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Meeting agendas and minutes
•
Interview questions and notes
•
Facilitation session agendas and notes
•
Issues log
•
Work plan, status reports
•
Presentation slides used during the project
•
Traceability matrices
41
AF
T
A “deliverable” is a document that shows the work that has been completed on the
project. Specific deliverables may be required by the project methodology A
requirement deliverable is used in subsequent phases of the project to implement the
solution. Not every note and document that a Business Analyst creates is necessary to
be included in a formal requirements package for review and signoff. However, planning
who will receive meeting minutes in what format will most likely aid in information
distribution during business analysis.
DR
Presenting requirements for review. Before completing the communications plan,
thought needs to be given to how requirements will be presented to various
stakeholders. The Plan should reflect that requirements may be presented very formally
or very informally. A formal presentation example would be use of a written business
requirements specification. Other examples include a formal presentation to various
levels of stakeholders, with executive summaries as well as a structured model like an
entity relationship diagram, including all of the associated diagrams, supporting text,
detailed attributes, and revision information. A requirement may be presented
informally in an e-mail message, a note, or even verbally. The Business Analyst should
assess the project requirements, audience, and organizational process assets to
determine the level of formality appropriate for the business analysis. Generally:
•
The more formal the communications, the more time that will be required to
prepare for meetings, for reviews, for the presentation or requirements package,
etc..
•
The less formal the business analysis work, the more risk that it will be
misunderstood and/or misinterpreted.
When presenting the requirements for review and approval, there needs to be just
enough formality to support the project methodology and ensure that the stakeholders
will review, understand, and approve them. Working within the framework of these
guidelines, the Business Analyst decides not only the most appropriate communication
vehicle and level of formality to employ for each stakeholder but also who will review
the requirements.
The Business Analyst when planning the appropriate presentation format for an
audience must also make sure that there is differentiation between what is a “work
product” versus what is considered to be the final “deliverable”. Not every document
that the Business Analyst produces is appropriate to communicate to the stakeholders.
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2.5.5
2.5.6
42
Techniques
•
Communications requirements analysis
•
Communications media analysis
Stakeholders
The Business Analyst must clearly understand the varying needs of the audiences that
will review the requirements, and realize that different audiences often require different
requirements presentation formats.
For example, the following are potential audience/stakeholders that the Business
Analyst will need to consider:
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Regulator:
•
Sponsor
AF
T
Business Analyst
DR
2.5.7
•
Output
Business Analysis Communication Plan. The business analysis communication plan
is a subsidiary of the Project Communications Plan, which itself is a subsidiary plan of
the project management plan (see PMBOK p. 227). The business analysis
communication plan describes how and when the BA will work with project
stakeholders. On small projects it may be very brief and may not be formally
documented. On large and complex projects; and projects with many stakeholders, it
may be included as part of the project initiation documentation and is essential as part
of the overall project communications plan. Components can include:
•
The stakeholder communications requirements for business analysis activities
•
Format, content, medium, level of detail
•
Responsibility for collecting, distributing, accessing, and updating information
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2.6
Task: Plan Requirements Management Process
2.6.1
Purpose
43
The purpose of Plan Requirements Management Process is to choose or follow a
process for planning and monitoring the requirements work throughout the project or
project phase, and to help ensure that the process chosen to complete the business
analysis effort is appropriate for the given project or project phase. Larger, more
complex efforts will require more rigor, while smaller projects or phases will likely
require less.
2.6.2
Description
AF
T
This task describes how the business analyst determines the appropriate requirements
process for a particular initiative. It describes how the BA determines what is currently
in place, and how to create the process if it doesn’t exist. It includes determining
whether and how requirements are changed, which stakeholders need to approve
(instead of the actual approval of requirements), as well as who will be consulted on, or
informed of changes, etc. It also includes the approach to requirements traceability and
determining which requirements attributes we will capture. These processes apply to all
Knowledge Areas.]
Overall project planning is the responsibility of the Project Manager. The Business
Analyst must work out a requirements planning approach in agreement with the
project manager. For more detailed information on overall project planning, please
refer to the Project Management Institute’s (PMI) Project Management Body of
Knowledge (PMBOK).
2.6.3
2.6.4
DR
The business analysts must be familiar with and knowledgeable about their
organization’s approach to requirements definition, as it will greatly influence the
process steps, tasks and deliverables required or expected during the requirements
planning and monitoring phases of the project. These approaches are discussed in the
Introduction to the BABOK (or Fundamentals or both).
Input
•
Organizational Standards and Process Assets
•
Business Analysis Plan(s)
Elements
.1
Choosing or creating the appropriate requirements process
Some organizations have a formal requirements process as part of their organizational
assets. Others have inconsistent processes, and those performing business analysis
work handle requirements in the manner they think best. Yet others have no process at
all, and requirements are often either ignored or folded into other phases.
In some organizations it is easy to determine what, if any, requirements process exists.
For example, each business analyst, whether internal or external, is trained on the
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requirements process and associated tools and templates. Or there may be few
resources performing business analysis work, so the process or lack of a process is well
understood.
Organizations that have documented processes for requirements may have different
processes for different requirements approaches. That is, there may be a process for
gathering requirements for an agile project and another when doing projects with a
waterfall approach. The methodology may allow for multiple requirements processes on
any given project. For example, there may be one process for gathering enough
requirements in order to determine which requirements need to go into subsequent
project phases, and another process for defining the detailed requirements for each
phase. Templates and tools are often available in these organizations.
In organizations where no formal process exists, it may necessary to create a process.
Factors to consider include but are not limited to:
Organizational culture. In organizations where the culture does not support
formality, but where informality jeopardizes the end product, it will be necessary to
work with the stakeholders to negotiate an appropriate process.
•
Stakeholder preferences. Some stakeholder may require more or less formality. A
sponsor may, for example, want formal approval but may not want a documented
process for eliciting requirements. As above, it will be necessary to recommend the
most appropriate approach to handling requirements, pointing out risks and
impacts as needed.
•
Complexity of project, project phase, or product (product, service, or result) being
delivered. For projects that have many interfaces and business and/or system
impacts, a variety of functional areas, and for products that are built with many
components and subcomponents, have complex interfaces, will be used by a variety
and number of stakeholders, or have other complexities, it will probably be
necessary to have a more formal requirements process with a greater number of
and more frequent requirements workshops, reviews/ inspections, and approvals.
Formal processes for configuration management and change management will be
more important for these projects.
DR
AF
T
•
•
Organizational maturity. Immature organizations are less likely to want to spend
time or money creating a requirements process, and there may be outright
resistance to the idea of having a process to define requirements.
•
Availability of resources, either internal or external to the performing organization
that can assist with the effort of creating such a process. Groups, such as a PMO or
professional services for business analysis, or external vendors can provide
assistance.
Any combination of the above.
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Planning requirements traceability
About requirements traceability. Requirements traceability identifies and documents
the lineage of each requirement, including its derivation (backward traceability), its
allocation (forward traceability), as well as its relationship to other requirements.
The purpose of traceability is to help ensure product or solution quality and to assist in
scope and change management, risk management, time management, cost
management, and communication management.
Requirements traceability supports the ability to trace a requirement through the
project life cycle. The ability to track the requirements is an important technique used
to detect missing functionality or to identity if implemented functionality is not
supported by a specific requirement.
Requirements traceability has the following project benefits:
AF
T
Traceability aids scope management, since requirements and subsequent work
products can be traced to ensure that they are relevant to solving the business need for
which the project has been undertaken.
Traceability aids change impact analysis:
DR
Requirements: Indicates which requirements are interrelated. Used to
determine which additional portions of the solution may be indirectly affected
by a proposed change. Changes to higher-level requirement are traced to
determine what may be impacted. An advantage is that proposed changes can
be more thoroughly estimated by understanding all impacts.
Design or Test: Indicates which elements of the solution implement or test
a requirement. Used by the Business Analyst and the Project Manager to
determine what work must be done to implement a change.
Interfaces: Indicates where requirements affect an external interface to
another system. Used by the Business Analyst to determine where changes may
impact external systems.
Traceability aids risk based testing:
A high priority requirement must have a test condition/case
A low priority requirement traced to a large number of test cases may be
over-tested
Traceability supports the following project goals:
•
Links downstream work products to the purpose for which they were created
•
Provides a process to confirm that the Requirements Elicitation process is
complete
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•
Provides a process to aid in work authorization
•
Increases the chance of improved quality on all projects sizes and types
•
Facilitates the requirements change control process
•
May facilitate communication to appropriate stakeholders on risk, impacts,
missing functionality, etc..
There are also many a dimension of traceability in a project. It will be necessary to
determine and communicate which of the following aspects of traceability will be
performed during the project or project phase. The following is not an exhaustive list.
Requirements to business problem, business objectives, project objectives
•
Scope to requirements
•
Requirements to design work
•
Requirements to quality assurance activities
•
Requirement to resource plan
•
Design work to quality assurance activities
•
Requirements to requirements
.3
AF
T
•
Structure Requirements Traceability
DR
There are also many ways to structure requirement traceability. It is necessary to
determine and communicate how traceability will be executed throughout the project
or project phase. The highest level of the traceability attribute is relation(forward or
backward). Other type attributes includes:
•
Peer to Peer
•
Subset
•
Blanket
•
Bi-directional
•
Business value
•
Estimated resource requirement
•
Estimated cost
There are many automated tools to manage the requirements traceability. These tools,
while useful, are not obligatory. Unless the planning and structuring of traceability
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happens early in the project or project phase, the benefits of traceability stated above
will not be attained.
.4
Determine Requirements Attributes
Requirements attributes provide information about the requirement, such as the source
of the requirement, the importance of the requirement, and other metadata. Attributes
aid in the ongoing management of the requirements throughout the project lifecycle.
They should be planned, along with the requirement themselves, but are not in
themselves part of the solution definition.
The information documented by the attributes helps the team efficiently and effectively
make tradeoffs between requirements, identifying stakeholders affected by potential
changes, and understanding the impact of a proposed change. Therefore, planning
which attributes to document helps in managing scope during the project.
AF
T
Attributes are facts that are attached to each individual requirement. Attributes allow
the requirements team to associate information with individual or related groups of
requirements and facilitate the requirements analysis process by expressing such things
as which requirements may add project risk or require additional analysis.
Some common requirements attributes include:
Absolute reference is a unique numeric (preferred) or textual identifier. The
reference is not to be altered or re-used if the requirement is moved, changed or
deleted.
•
Acceptance criteria describe the test that would demonstrate that the
requirement has been met to the satisfaction of customers, end users, and
stakeholders.
DR
•
•
Author of the requirement. If the requirement is later found to be ambiguous
the author may be consulted for clarification.
•
Complexity indicates how hard the requirements will be to implement.
•
Ownership indicates the individual or group that needs the requirement or will
be the business owner after the project is released into the target environment.
•
Priority indicates which requirements need to be implemented first. See below
for further discussion on prioritizing and managing requirements.
•
Source of the requirement. Every requirement should originate from a source
that has the authority to specify requirements. The source must be consulted if
the requirement changes, or if more information regarding the requirement or
the need that drove the requirement has to be gathered.
•
Rationale indicates the business goal that the requirement is intended to
satisfy.
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•
Stability is used to indicate how mature the requirement is. This is used to
determine whether the requirement is firm enough to start work on.
•
Status of the requirement, indicating such things as whether it is proposed,
accepted, verified, postponed, cancelled, or implemented.
•
Urgency indicates how soon the requirement is needed. It is usually only
necessary to specify this separately from the Priority when a deadline exists for
implementation.
•
Additional attributes may include information such as cost, resource
assignment, and revision number, traced-from and traced-to.
.5
Plan the requirements prioritization process
AF
T
There is a business value associated with each business problem we solve. The delivery
of value at the right time and with the right cost is often the goal of the business.
Requirements do not all contribute equally to the realization of the business value.
Timelines, dependencies, resource constraints, and other factors influence how
requirements are prioritized.
Planning the requirement prioritization process helps ensure that stakeholders
determine and understand how requirements will be prioritized throughout and at the
end of the business analysis effort.
DR
Formality. The formality and rigor of the requirements prioritization process is
determined partly by the methodology chosen, and by the characteristics of the project
itself. Regardless of the formality and rigor dictated by these elements, the steps
described in the following sections are used: the differences will lie in the level of detail,
the amount of formal structure in the prioritization process (i.e. formal meetings versus
informal conversations) and the amount of documentation needed to support the
prioritization process.
Establishing the process and technique. The process to plan how requirements
prioritization will occur needs to include which prioritization technique (s) will be used.
The techniques can range from more formal to less formal.
Help plan the participation. The BA in conjunction with the PM and sponsor can
determine the participants needed for the prioritization process.
Who to invite and who does the inviting depends on organizational norms and best
practices. Since sponsors are ultimately accountable for the business solution and
major project decisions, they need to be invited to participate in the discussion, even if
they delegate the participation to business SMEs. Another key stakeholder is the project
manager, whose total project management plan is dependent on which requirements
are released and when. The invitees depend on methodologies, organizational norms,
and the engagement of the sponsor.
•
In some organizations technical SMEs are invited to the prioritization meeting,
to discuss technical impacts and costs of the requirements. In others technical
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SMEs are not invited, with the discussion focused only on the business
requirements and impacts.
•
In some organizations sponsors actively participate in the prioritization
process; in others they do not.
When there are multiple limiting factors, invite participants accordingly.
2.6.5
Plan the process for handling changes
Some considerations when planning for handling changes:
Determine the process for requesting changes. This process can be formal
and documented, or informal and undocumented. The process can, but does
not have to set authorization levels for approving changes. For example only, if
a change is estimated to take less than a certain number of hours or dollars, the
requester and project manager can approve the change. If larger, the sponsor
has to approve it. Again, this is an example of an authorization process.
•
Determine who will authorize changes. The planning activity needs to
include a designation of who can approve changes after requirements have
been baselined. On larger projects there might be a formal Change Control
Board (CCB) or Change Authority, which considers the requested change, and
provides initial judgment on the merits of that request. The CCB can consist of
any number of people in any number of positions. It may or may not include the
sponsor and/or the designate, the project manager, the business analyst, SMEs,
or other interested parties. On smaller projects the CCB may be informal and
consist of the members of the team, such as a SCRUM team.
DR
AF
T
•
•
Tailoring. Determine the amount of formality that will be required to
document changes. Note that in projects involving agile methodologies, the
amount of documentation and formality may be significantly reduced to ensure
speed. Part of the planning process is to decide the appropriate level of
documentation needed so that a consistent set of team rules is followed.
Minimal practice suggests that a log of changes and issues be maintained so
that they can be communicated at daily meetings.
•
Impact Analysis. Specify who will perform the analysis of such impacts as
business processes, information requirements, system and hardware interfaces,
other software products, other requirements, test strategies and plans, to name
a few.
•
Plan the wording of the request. It is important to set the expectation at the
beginning of the business analysis activities that although the amount of
documentation required to request changes is project and methodology
dependent, the wording of the request must be clear. The requested change
must be expressed in unambiguous terms. Therefore, it will be necessary to
discuss the nature of the request with the requestor and other interested
stakeholders.
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The requirements process should spell out the nature of the components on the request
for change, which might include:
•
Cost and time estimates of change
o
For each item, work product, or technical product affected, a brief
assessment of the expected cost of change is to be estimated. As a
matter of good practice, reusability will yield improvements to the
change process by limiting the extent and scope of changes to other
components. The goal should be to ensure responsiveness to change,
not raising unlimited objections and impediments to the change
process.
o
The estimate will provide an integrated view of the impact, in terms of
costs, resources needed, how many hours and days for implementation,
and any dependencies.
Benefits and risks of the change
•
How the change aligns with the project and business objectives to help ensure
all changes add business value
•
Since there are often unintended consequences to what seems like a favorable
change, the request should include a well-structured change analysis form
(written or verbal), statements of the expected risks, including both negative
and positive influence on project objectives. Benefits considered may include
not only financial benefits, but also the technical aspects of product features,
influences on project scope, time, cost, quality, resources, and the business
interests expressed in the business case, if one has been created.
DR
AF
T
•
•
Recommended course of action for change
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o
The course of action for the change needs to be explained with the
understanding of benefits and risks in the previous section. Several
alternate courses can be considered, including those recommended by
the requestor, and by other stakeholders. By weighing the relative
benefits, risks, and other criteria for each option, the decision-maker,
designated by the approval process, can make a choice that will best
serve the needs of the project.
o
The various options considered and the reasoning for the option finally
selected should be recorded.
o
The recommended course of action needs to be complete enough to
permit clear coordination of the parties affected by the change. For
larger changes, this course of action might be a subproject within the
context of the overall project, including elements that need to be put
into the overall project management plan.
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•
Updates to the communications plan and the method for communication of the
change to affected stakeholders.
•
Configuration management and traceability disciplines should establish
product baselines and version control practices that will clearly identify which
baseline is affected by the change.
While the project manager usually assumes the primary responsibility for managing
change, the business analyst is responsible for advocating in favor of the interests of the
business clients, as well as to advocate for positive control over the requirements
baseline.
Coordinate prioritization of change. The priority of the proposed change must be
established relative to other competing interests within the current project phase. The
requestor should provide a priority as described in the section above. Project decision
makers will need to consider the priority as well any potential risk of deferring
implementation until a later time.
AF
T
Techniques
•
Change control system (process for changing the requirements baseline,
authorization levels for approval, tracking process to recognize the changes and
make decision to approve change—criteria used
•
Configuration management system to establish how changes to the product
deliverables and versions will be controlled, changed, approved and
documented.
•
Traceability system including:
DR
2.6.6
2.6.7
•
Process for tracing requirements
•
Numbering structure
•
Hierarchy structure
•
Requirements for traceability linkages
•
Guidelines for level of granularity
•
How to find orphan elements and inconsistencies
•
Complexity analysis
•
Templates
•
Who, when and how traceability will be maintained
Stakeholders
•
Business Analyst
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2.6.8
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Sponsor
52
Output
Requirements Management Plan. The Requirements Management Plan is a formal
document or an informal summary of the business analysis activities to determine the:
Approach to be taken to structure traceability
•
Process required to determine and document which requirements attributes
will be used
•
Requirements prioritization process
•
Requirements change process, including how changes will be requested,
analyzed, approved, and implemented
DR
AF
T
•
•
Organizational Performance Standards. Business analysis work involves
determining which, if any, performance standards exist within the organization,
division, operating company, or business units. In some organizations metrics
or suggested metrics exist as part of the organizational process assets. Where
none exist, it is necessary to work with appropriate stakeholders to decide
which metrics will be used during business analysis.
The formality of the Plan will be based on:
•
Requirements approach, such as waterfall, incremental, or agile. Different
approaches might dictate the amount of rigor required for this plan.
•
Organizational process assets, or methodology, templates, and processes of the
organization where business analysis activities are performed. Some
organizations have these assets, while others do not. Those with formal
methodologies, templates, and process will likely dictate the amount of rigor
that is necessary to support business analysis activities.
•
Stakeholder attitude towards formality and rigor.
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2.7
Task: Plan, Monitor, and Report on Business Analysis
Performance
2.7.1
Purpose
The purpose of this task is to plan for and then monitor the health of business analysis
work throughout the project or project phase. The Business Analyst must work closely
with the Project Manager in completing this task.
This task will help enable identification and documentation of the necessary metrics,
which are quantitative measures of a process or product. In order to make effective
decisions about the business analysis activities and the requirements, accurate,
meaningful data is required. It is important that all key stakeholders involved
understand and agree on the metrics to be used.
2.7.2
AF
T
During this task the Business Analyst works closely with the Project Manager not only
to develop metrics, but to determine the most effect way to monitor and report on the
work.
Description
DR
This task covers determining which metrics will be used to measure the work
performed by the business analysts. It includes how we track, assess, and report on the
quality of the work performed by business analysts and take steps to correct any
problems that may crop up. If problems are identified, determine appropriate corrective
action (which may feed into the development of future plans on this or other projects).
These metrics should be included in the formal plans if such plans are created.
Business analysis activities during this task include but are not limited to:
•
Determine which metrics will be used during the planning activities. The
process of metrics collection and analysis must be regularly monitored and
measured. The results should be reviewed on a scheduled basis, and must also
allow for exception alarms on an emergency basis when needed. The actual
schedule of metrics collection and reporting will be determined by the business
analyst in conjunction with other key stakeholders based on the size,
complexity, risk and other relevant project factors.
•
Help ensure that a process exists for tracking, monitoring, and reporting on the
business analysis work. This includes conducting on-going collection and
analysis of the data based on criteria established in planning. Managing the
changes as described elsewhere in the chapter.
•
The focus of the business analyst within the context of monitoring business
analysis work is to assist the project manager in answering questions about
progress and quality. This focus expands very appropriately to any
measurements related to the quality and completeness of the end product from
the business perspective. The metric should be logically linked to a performance
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or quality objective, at a point in the process that allows time for appropriate
intervention.
Identify and report on risks that result from the monitoring process. Although
the project manager is responsible for managing risk, the business analyst, with
the other team members, should identify any risks within their domain.
Monitoring business analysis activities could well uncover risks and issues that
were not previously apparent.
•
Make routine and ad hoc reports on the status of business analysis work.
Reporting on the health of the project occurs as a result of collecting and
analyzing information, based on the planned metrics. The Communications
Plan should outline the stakeholders receiving the status information and the
medium for receiving it. This reporting may be routine (e.g. weekly, biweekly, or
monthly) or on a per request basis. The process for escalating issues and for ad
hoc reporting should be detailed in the requirements process plan(s).
•
Recommend corrective and preventive action as needed. Both corrective and
preventive actions are a result of the monitoring process. Corrective action
brings the activities in line with the plan. It occurs when it is clear that the
actual work is veering from the plan and details what needs to be done to stay
on course. Preventive action describes the activities that need to be taken to
prevent the effort from straying from the plan. See the PMBOK for more
information on corrective and preventive actions.
•
Replan as needed. A common result of the tracking and monitoring process is
the need to replan. If formal requirements plans have been developed, they need
to be examined to see whether or not they have to be updated.
DR
AF
T
•
Different organizations may have metrics standards and processes used on their
projects. The metrics that are discussed in this section may be critical to some
organizations; while in others or on other projects metrics may not be used at all. The
Business Analyst should take any of their organization’s existing standards and
processes into account when planning which metrics will be used and for monitoring
work.
2.7.3
Input
•
Organizational Performance Standards, described above.
•
Actual Performance Metrics. Actual performance measures are captured, analyzed,
and become the basis for taking corrective or preventive action described above.
Capturing actuals is a process that occurs through the business analysis effort.
•
Business Analysis Plan(s). the business analysis plans, described earlier in the
chapter, these plans, describe deliverables, activities, tasks, estimates for all
business analysis work.
•
Requirements Management Plan, described in the task above.
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2.7.4
55
Elements
This section deals with three types of tasks for both product and project-related metrics
– the Identification, Collection and Reporting of these key measurements.
A suggested sequence of steps during business analysis work includes the following:
•
Determine relevant metrics for the business analysis activities and work
products, including the requirements themselves.
•
Determine how the metrics will be collected, analyzed, documented, and
communicated.
•
Execute the following steps on a continuing scheduled and/or ad hoc basis:
Collect
o
Analyze
o
Store
o
.1
AF
T
o
Report and distribute the metric results
Determine Metrics
DR
Determining effective product metrics will demand a detailed and disciplined process
as good metrics usually depend on both the product's goals and any assumptions that
may have been made. Business analysis includes eliciting and identifying these during
this task.
Some of the metrics discussed below, as well as others that may be defined within an
organization, may or may not be used on any particular project. Some of the metrics
may also be collected and reported at specific points of the project, while others may be
in existence throughout the entire project.
The Business Analyst will use any formal or informal list of requirements to identify any
specific quality measurements that will be used to judge the product i.e. to answer the
question of whether the product will meet the requirements. Specific reports content
and formats may also be determined at this point but typically will be done in a later
task.
An example of a useful metric might be the rate at which the development team is
finding and fixing product defects. This would have to be clearly defined regarding how
to measure this and what the target for being able to ship the product might be.
.2
Collect Metrics
The purpose of this subtask is to collect the specific project metrics identified above for
all requirements related activities. This task enables the Business Analyst to collect the
identified and agreed to product metrics. In turn, this will enable all relevant metrics to
be accurately collected for analysis and reporting. This task is an ongoing one that will
be executed as long as there are business activities being executed.
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This subtask describes the activities of the business analyst in quantitatively monitoring
progress and attributes of the business analysis work. General trends in management,
whether describing concerns of the business, finances, quality or performance at all
levels, call for the appropriate use of data in order to make factual forecasts and
decisions.
Appropriate volume of data – too much information will be expensive to collect,
analyze and report. It will also distract project members from other
responsibilities. On agile projects, this will be particularly relevant.
•
Appropriate use of automation – large amounts of data can be better collected and
analyzed if the business or technical process generates and collects them
automatically without human intervention. Greater human involvement increases
expense, higher likelihood of error, and raises the likelihood of falsification.
•
Timeliness of collection, analysis and reporting – a bureaucratic metrics program
fails from collecting too much data and not generating useful reports that will allow
timely responsive action. Those charged with collecting metric data must be given
feedback to understand how their actions are affecting the quality of the project
results.
•
Logical connection to preventive and corrective action – the metric must ultimately
provide value by adjusting the current or future course to assure the desired
outcome.
AF
T
•
DR
The business analyst provides a valuable contribution by keeping metrics activities
focused on effective collection, analysis, reporting, and where needed, either preventive
or corrective action.
.3
Report on business analysis progress
The purpose of this subtask is to report on the metrics that have been collected for all
requirements related tasks identified above. Product metrics must be reported to the
appropriate stakeholders. The Communications Plan should address the appropriate
stakeholders to receive the various product metric reports that may be available.
This subtask describes the business analyst role in ad hoc and periodic reporting on the
status and progress of requirements management activities. Using reporting
mechanisms and formats established by the Requirements Plan and other project tools
such as the Communications Plan, the business analyst will keep all stakeholders
advised on matters related to the requirements baseline.
The Business Analyst will submit periodic reports as defined by the requirements
management plan or similar documents. Such reports will also be made on an ad hoc
basis. Reports can be in written format to provide for archival and tracking, or they can
be informal and verbal, per the team’s decision. Some reports will also be made formally
and orally as presentations to various levels of stakeholders and management. On larger
projects with more traditional methods, the forms of reporting are likely to be more
formal, relying on written reports and formal meetings. For more agile approaches, the
reporting may be very flexible and fluid.
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.4
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Take preventive and/or corrective action
This element provides guidance on the business analyst role responding to events on
the project and taking corrective action. In response to events on the project, it may
become necessary to modify the Requirements Plan, in entirety or in sections, as
appropriate.
The corrective action may or may not involve modifying the Requirements Plan. If
changes are required, the business analyst role owns those modifications. Any
perceived need to improve, update, or change it will be accomplished by the approved
change management process.
•
Variance analysis, including Time and cost reporting systems (to capture the
actuals)
•
Performance information gathering, compilation, and presentation
•
Replanning
•
Configuration management system
•
Process analysis
Stakeholders
•
Business Analyst
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Sponsor
DR
2.7.6
Techniques
AF
T
2.7.5
2.7.7
Output
•
BA Performance Assessment. This output, completed formally or informally, is
the end result of comparing planned vs. actual performance, determining
variances,
•
Lessons learned documentation includes the results of the lessons learned
sessions. The documentation can but does not have to include:
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Project successes, failures, and opportunities (see description of the
lessons learned process technique below)
•
Recommendations for improved performance of future projects or
project phases
•
Planned vs. actual deliverables, activities, estimates
•
Updated project records
•
Updated lessons learned repositories
•
Updated project history
Process improvement recommendations. When the analysis of the performance
of the business analysis work yields less than satisfactory results, it is helpful to
review not only the results themselves, but also the process that produced those
results. This process analysis, described as a technique below, often results in
recommendations for improvement. In this case the improvements are to the
business analysis process.
AF
T
•
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2.8
Technique: Expert Judgment
2.8.1
Purpose
The purpose of using Expert Judgment is to coordinate the appropriate resources in
order to get the best available input into the Business Analysis Approach Plan.
Description
DR
2.8.2
Expert judgment is often used to assess the inputs needed to develop the Business
Analysis Approach Plan. Such judgment and expertise are applied to any technical and
management details during this process and expertise is provided by any group or
individual with specialized knowledge or training based on input from many sources
including:
•
Stakeholders, including business analysts, project managers, sponsors, domain
SMEs
•
Project Management Office representative(s)
•
Consultants
•
Professional and technical associations
•
Industry groups
For more information on expert judgment, please see the third edition of the PMBOK, p.
86.
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2.9
Technique: Stakeholder Analysis
2.9.1
Purpose
59
The purpose of stakeholder analysis is to help ensure required project roles are
identified, filled, and that the interests of project stakeholders are identified and
prioritized. The result of this analysis becomes input into their needs, wants, and
expectations.
2.9.2
Description
Stakeholder analysis is the technique of assisting in:
Identifying which roles are needed on the project
•
Helping the project manager to identify which stakeholders can fill those needs,
•
Categorizing stakeholders
•
Getting agreement on general levels of authority for the entire project
•
Determining the impact of the project on stakeholders
•
Determining how the stakeholders view this impact, how they might react to
the project and its impact on them, and what influence these stakeholders have
over the success of the project
AF
T
•
DR
Projects can affect stakeholders’ interests either positively or negatively. Knowing both
can help to:
2.9.3
•
Address the negative concerns, thereby increasing the chances for a positive
project outcome
•
Develop strategies that can leverage positive attitudes and high influence to
mitigate negative attitudes.
Elements
Most elements are covered within the task Conduct Stakeholder Analysis.
2.9.4
Usage Considerations
.1
Advantages
•
Role analysis is important for all projects
•
Categorization of stakeholders can be helpful on larger efforts
•
Influence analysis is essential for projects that have:
•
A variety of cross-functional stakeholders
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Conflicting or competing needs, wants, and expectations
•
Weak or no sponsorship
.2
Disadvantages
60
•
Time-consuming
•
Can be hard to implement, since attitude and influence are not readily assessable
2.10
Technique: Communications Requirements Analysis
2.10.1
Purpose
The purpose of this technique is to analyze stakeholder needs for communication, thus
helping to ensure that all the required communication, but only the required
communication is distributed to project stakeholders, adhering to their
communications preferences.
Description
AF
T
2.10.2
Since communication is critical to project success, planning project communications
before information is distributed can prevent minor mishaps and total derailment.
Communications has to be completed enough, but not overwhelming. Analyzing
stakeholder communications requirements can include determining such things as the:
Communication complexity, which can be expressed in communications
channels
•
Preferred level of detail to ensure that stakeholders receive just enough
communications
•
Preferred format
•
Preferred media
•
Logistics of communicating to and from multiple locations
•
Internal communications flow. How communications will flow within the
organization, between and within departments.
•
External communications. How communications external to the organization
will flow. A few examples of external communications might include
communicating with:
DR
•
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Software, hardware, contractors, training vendors
o
Compliance/regulatory agencies
o
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2.10.3
61
The media
Elements
Many of the elements have been explained in the Plan Business Analysis
Communications task.
2.10.4
Usage Considerations
.1
Advantages
Essential for projects that have:
A variety of cross-functional stakeholders wanting different levels of detail,
formats, and media preferences
•
Conflicting or competing communications needs
•
Geographically-dispersed or virtual teams
.2
AF
T
•
Disadvantages
•
Time-consuming
•
Not as necessary for single-function projects
Technique: Variance Analysis
2.11.1
Purpose
DR
2.11
The purpose of this technique is to analyze discrepancies between planned and actual
performance, determine the magnitude of those discrepancies, and recommend
corrective and preventive action as required. Variances can be related to planned vs.
actual estimates, cost, scope, product expectations, or any measures that have been
established during the planning activities.
2.11.2
Description
The business analysis performance measures described in the task Plan, Monitor, and
Report on Business Analysis Performance are used to assess the work completed, and
when variances between the actual work and the plan are found, variance analysis
measures the magnitude of the variation. Variance analysis also includes studying the
causes of the variance to determine if corrective or preventive actions are required to
bring the business analysis work in line with the business analysis plans.
2.12
Technique: Replanning
2.12.1
Purpose
The purpose of replanning is to update the appropriate business analysis plans when
changes affecting to the requirements baseline have been approved.
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Description
Change requests may result in the need to modify deliverables, activities, and/or
estimates that have already been approved in the business analysis plans. Replanning
accommodates the need to review the impacts of approved changes and revise the
business analysis plans as required.
2.13
Technique: Change control system (includes time and
reporting system)
2.13.1
Purpose
The purpose of a change control system is to define how the requirements baseline, as
well as how updates to the business analysis plans will occur. Much of this technique
has been described in the task Plan Requirements Management Process.
2.13.2
Description
AF
T
Change control system, described in the task Plan Requirements Management Process,
can include:
Process for changing the requirements baseline, including the forms, templates,
and other organizational process assets.
•
Authorization levels for approval
•
Tracking process to recognize changes. This process describes how to capture
actuals vs. planned deliverables, activities, and estimates. The process includes
such things as:
DR
•
o
How often to capture actuals
o
How to analyze variances (ex. estimates to and at completion, earned
value)
o
How often to report actuals(status and progress) as well as forecasts
and to whom
o
How to identify when corrective and/or preventive action is needed
o
Criteria that will be used to approve the change
2.14
Technique: Lessons Learned Process
2.14.1
Purpose
The purpose of a lessons learned session is to compile and document what went well
(successes), opportunities for improvement, failures, and recommendations for
improving the performance of future projects or project phases.
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Description
Lessons learned sessions can include any format or venue that works for the key
stakeholders identified as participants in these sessions. They can include a review of:
Business analysis activities
•
Business analysis deliverables
•
The final product
•
The business analysis process
•
Automation and technology used or not used
•
Managerial concerns or issues
•
How organizational process assets helped or hindered the business analysis and
requirements processes
•
Performance against plan
•
Variances
AF
T
•
Root causes for the variances
o
Whether the variances were routine of anomalies
o
Corrective and/or preventive action recommended, approved or
rejected, and taken
DR
o
Lessons learned may take place in formal, facilitated meetings with set agendas and
meeting roles, formal or informal working sessions, informal get-togethers, which may
or may not include a celebration.
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Chapter 3: Requirements Management and
Communication
3.1
Introduction
3.1.1
Knowledge Area Definition and Scope
The Requirements Management and Communication Knowledge Area is the collection
of activities and considerations for managing and expressing the output of the
requirements analysis to a broad and diverse audience. Requirements management and
communication is an ongoing, iterative activity that is done in parallel with Business
Analysis Planning, Enterprise Analysis, and Requirements Analysis. It includes
packaging, tracing, managing and communicating requirements for the stakeholders
and implementers of the project.
AF
T
The rationale for including this knowledge area is that as requirements are elicited,
analyzed and documented, they must be managed and communicated to the interested
stakeholders. An effective business analyst must be able to clearly present the
requirements in a format and structure that is appropriate for its intended audience.
DR
Communicating requirements is an important aspect of business analysis because the
BA is working to bring the stakeholders to a common understanding of the
requirements. Because the stakeholders represent people from different backgrounds
and knowledge areas, this communication is essential. For example a business person
from the payroll processing department and a developer from the IT group must have
the same understanding of how employee pay amounts are to be calculated and
distributed. To facilitate this communication the BA must consider when and where
communications need to take place, what communication approach is appropriate in
each situation, and how each communication should be presented.
Managing requirements involves change control, requirements storage, tracing related
requirements and maintaining them for re-use.
3.1.2
Input
•
Stakeholder list
•
Stakeholder roles and responsibilities designation
•
Stakeholder analysis
•
Business analysis communications plan
•
Requirements
•
Requirements management plan
•
Requirements format/presentation options
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3.1.3
•
Other solution components
•
Test cases and procedures
•
Implemented requirements
65
Tasks
7.2 Manage solution and requirement scope
7.3 Manage requirements traceability
7.4 Maintain requirements for re-use
7.5 Prepare requirements package
7.6 Communicate requirements
AF
T
Techniques
•
Baselining
•
Change control system
•
Configuration management/repository system
•
Manage requirements conflicts
•
Obtain requirements signoff
DR
3.1.4
3.1.5
•
Traceability system
•
RFI, RFQ, RFP
•
Conducting a requirements presentation
•
Conducting a requirements review
Output
•
Approved requirements
•
Decisions made
•
Modified requirements
•
Approved change to solution/requirements scope
•
Traced requirements
•
Incomplete requirements
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Maintained/reusable requirements
•
Requirements presentation/package
•
Communicated requirements
3.2
Task: Manage Solution Requirements Scope
3.2.1
Purpose
66
Baseline and manage changes to business case, solution scope and requirements.
3.2.2
Description
As requirements are elicited and analyzed they must be recorded and stored for
reference. They also must be checked against the solution scope to make sure they are
within the agreed upon project boundaries.
AF
T
In addition, requirements must be approved by stakeholders as specified in the project
and/or requirements plan. Requirements are often baselined, meaning the collection of
requirements that support the scope of the project are saved as approved. Any changes
to requirements after baselining involves use of a change control process and
subsequent approval.
As requirements are refined or changed with new information, the changes may be
tracked. Conflicts around requirements are managed using an issues list where final
decisions are recorded.
3.2.4
Input
DR
3.2.3
•
Stakeholder list
•
Stakeholder roles and responsibilities designation
•
Requirements
•
Requirements management plan
Elements
One of the most important tasks of business analysis is managing requirements.
Requirements may be stored in any number of repositories (i.e. paper or electronic files,
flip charts, in requirements management tools). The system for adding, changing and
deleting requirements should be consistent and clearly understood by the team. File or
component naming standards will assist with categorizing and maintaining
requirements.
The business case, solution or product scope and all requirements must be reviewed
and approved by the sponsor(s) according to the approval authority stated in the
Requirements Management Plan.
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As requirements are developed and reviewed, conflicts often arise. A conflict with a
requirement may result from stakeholders in different areas viewing the requirements
from different perspectives. It may also result from conflicting priorities. As conflicts are
identified, the business analysis process includes conflict resolution techniques to
manage and resolve the conflict.
In the event that any identified stakeholder declines to sign off, the business analyst will
notify the project manager (or follow the project escalation procedure) of the absence of
approval which may be deemed sufficient cause to delay subsequent tasks or to reduce
project scope.
Once requirements are approved, they may be baselined. When a requirement is
baseline it is saved as approved and subsequent changes to the requirement must
follow the change control process.
3.2.6
3.2.7
Techniques
•
Baselining
•
Change control system
•
Configuration management/repository
•
Manage requirements conflicts
•
Obtain requirements signoff
DR
3.2.5
AF
T
As changes are approved, the business analysis plan may require that the baselined
version of the requirement to be maintained in addition to the changed requirement.
Additional information is often maintained such as description of the change, person
who made the change, reason for the change.
Stakeholders
•
Sponsor
•
Project manager
•
Business domain subject matter experts
Output
•
Approved requirements
•
Decisions made
•
Modified requirements
•
Approved change to solution/requirements scope
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3.3
Task: Manage Requirements Traceability
3.3.1
Purpose
68
Create and maintain relationships between requirements and other solution
components.
3.3.2
Description
Requirements are related to other requirements. “Tracing” a requirement refers to the
ability to look at a requirement and the others to which it is related. Business analysis
involves identifying these relationships and documenting them as is useful.
There are several reasons for creating these relationships.
1. To perform impact analysis. When a requirement is changed the analyst can easily
review all of the related requirements, and software components to see the
“impact” of the change.
AF
T
2. A second important use of traceability is double checking to make sure that
requirements or solution components have not been missed. Example: When
business objectives are traced to detailed requirements such as business rules, data
elements, and Use Cases it is clear how they will be accomplished. Each business
objective can be reviewed to make sure that it will be addressed by the appropriate
solution components. If a business objective is not tied to anything, it has not been
analyzed and included in the solution.
DR
3. Finally traceability supports the allocation of requirements to solution components
(see Solution Assessment and Validation).
Example: A business requirement like Increase Sales 5% is related to a business process
SELL PRODUCT.
The relationship between these two requirements may be named.
Example: The objective Increase sales 5% is implemented in SELL PRODUCT.
Requirements can also be related to software components (i.e. modules, database
tables) and to test cases and test procedures.
Traceability may be maintained by the business analyst or other team members as
specified in the Requirements management plan (See Business Analysis Planning and
Monitoring KA).
3.3.3
Input
•
Requirements
•
Other solution components
•
Test cases and procedures
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Elements
Relationships between components or traceability can be documented in a matrix.
Examples:
Business Process
Business Requirement
Increase sales 5%
SELL PRODUCT
BILL CUSTOMER
X
X
Decrease billing costs 3%
X
Business Rule
BR2 – Orders
under $1000 must
be paid via credit
card
X
X
AF
T
Business Requirement
BR1 – Orders over
$100 receive free
shipping
Increase sales 5%
Decrease billing costs 3%
X
DR
Test Case
Use Case
BUY PRODUCT
Test case 1
Test case 2
X
X
RETURN PRODUCT
X
Many requirements management tools support traceability.
Impact analysis is performed to assess or evaluate the impact of a change. Traceability
is a useful tool for performing impact analysis. When a business need changes, its
relationships to other requirements or system components can be reviewed. Each
related requirement or component may also require a change to support the new
business need. These components can also be traced to their related components and
those components reviewed for needed changes. And so on. This ability to look at one
component and identify all of its related components is a very powerful tool. The BA can
quickly assess the relative size of a business change on its related software support and
business procedures. Knowing the impact of a change helps business decision makers
evaluate their options with facts rather than guesses.
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Techniques
Traceability system
3.3.6
3.3.7
Stakeholders
•
Business analyst
•
Quality assurance
•
Implementation SME
Output
•
Traced requirements
•
Incomplete requirements
Task: Maintain Requirements for Re-use
3.4.1
Purpose
AF
T
3.4
Increase efficiency of development and implementation of software and solution
enhancements after deployment by re-using existing requirements.
3.4.2
Description
DR
Once a requirement has been satisfied it should be considered for its re-usability on
future projects. Even though a requirement has been satisfied, it is still a requirement as
long as the business stakeholders need it. Maintaining these “implemented”
requirements helps with product enhancements and future system changes. Often the
business wants more functionality on top of the existing system. Existing requirements
may also be re-used on related business projects.
To re-use requirements they must be clearly named and defined and easily available to
other analysts. These requirements may be stored in a repository (i.e. directory of files,
requirements management tool) administered by a custodian or librarian (who may be
the BA). When an existing requirement is needed on a sub-sequent project it can be
“checked out” of the repository for re-use.
When a system enhancement is created existing requirements provide knowledge about
the original system. These original requirements are often still needed with the
enhancement built around new requirements. The analysts, technical team and QA
team will use the original requirements as the basis for regression testing the system
when the enhancement has been added.
Business models are important to maintain for future strategic and tactical planning.
3.4.3
Input
•
Implemented requirements
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3.4.5
71
Elements
•
Select which implemented requirements will be maintained after solution
implementation.
•
Name the responsible party who will maintain the requirements (i.e.custodian,
librarian)
•
Facilitate ongoing use of requirements for impact analysis and solution
maintenance
•
Facilitate re-use of requirements on related projects to encourage enterprise
consistency of business models.
Techniques
Configuration management/repository system
3.4.6
Stakeholders
3.4.7
Output
AF
T
Business analyst
Maintained/reusable requirements
3.5
Task: Prepare Requirements Package
3.5.1
Purpose
DR
This section covers the considerations that must be addressed when devising a plan for
successfully creating a requirements package.
Requirements can be presented in various formats. This task describes the work
required to decide which format(s) are appropriate for a particular project and its
stakeholders. Requirements should be presented in formats that are understandable for
the reviewer; they must be clear, concise, accurate, and at the appropriate level of detail.
The overriding principle for business analysis is only to produce requirements
documentation to the extent needed to assure the clear understanding by the team.
Presenting requirements in the appropriate format is primarily the responsibility of the
analyst. This is a critical business analysis task in order to obtain stakeholder
understanding and approval of the requirements.
In some iterative/agile methodologies, requirements deliverables and/or a
requirements package is not created. Team members on these projects discuss
requirements, use white boards and wall charts, and rely on informal notes to drive
software development. Requirements on these projects are documented as
recommended by the methodology and in informal work products.
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Description
Business analysis work results in many deliverables. The deliverables must be
“packaged” into a requirements document for presentation to the stakeholders.
Documenting requirements is a complex process, and communicating the
requirements correctly to stakeholders is a key success factor which can be facilitated
by packaging the requirements effectively.
Misunderstanding of requirements will have a negative impact downstream on project
implementation. It leads to re-work and cost overruns, particularly if deficiencies are
uncovered late in the process during the development or user acceptance testing phases
of the project.
There are various points in requirements development (elicitation, analysis,
documentation) where a requirements package may be created and presented, not just
at phase end.
AF
T
Each requirement that has been gathered, analyzed, and documented must be
presented to one or more project stakeholders for review, revision, and approval. A
requirements deliverable may include one or many requirements. To make the review
process as efficient and effective as possible, the business analyst should present each
requirement in an effective format to facilitate communication. This requires that the
business analyst thoroughly understand each requirement and present it in accordance
with each stakeholder’s communication preference.
3.5.3
3.5.4
DR
Technical requirement formats may not be appropriate for a non-technical audience
because the requirement may be either too technical, or may be documented in a
diagram that is unfamiliar to the stakeholder, and therefore, difficult to understand.
The business analyst should be able to ascertain the needs of the stakeholder audience
and choose a presentation format that is appropriate to the audience. This may
necessitate creation of multiple formats in order to convey the same requirement to
varied stakeholders.
Input
•
Stakeholder analysis (from Business Analysis Planning and Monitoring KA)
•
Requirements
•
Requirements Techniques (from Requirements Analysis KA)
Elements
.1
Identify Formatting Option Based on Analysis Technique
The business analyst will employ various techniques to document requirements and
make decisions on the most effective way of communicating the requirements.
Depending on the type of requirement, the presentation technique may vary. Often, the
project methodology will specify which techniques will be used for documentation. The
business analyst will work within these guidelines and select the best technique that
will convey the requirement effectively. There will likely be a combination of many
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formats in one requirements document. Some examples of techniques employed are
the following:
•
Diagrams - Process Workflows, Entity Relationship and Process Decomposition,
Use Case
•
Text - Textual templates, use case descriptions, process descriptions
•
Prototypes
•
User stories
In addition to requirements, BAs sometimes need to communicate in formats that are
not requirements or that don’t flow directly into project documentation. Some
examples of these are:
User manuals
•
Presentation slides
•
Issues log
AF
T
•
The ultimate goal is to gain consensus with stakeholders about all solution
components.
See the Knowledge Area Requirements Analysis for a list of requirements techniques.
DR
The best format choice is the one that best communicates the specific content of the
requirement. Each organization may have standards that the Business Analyst will be
required to follow, and the project team will utilize the techniques appropriate for their
project. Usually, each organization also has an approved suite of tools that are used for
documentation. MS Word, for example, is normally a standard employed for
documenting text, and organizations may already have templates available in a library
that the analyst can utilize. To create diagrams, such as an Entity Relationship diagram,
organizations may have standard tools, such as Erwin or MS Visio. The Business Analyst
should keep in mind that the tool used will drive the look and feel of the requirement,
and this will affect how clearly the requirement is understood by each stakeholder.
The documents contained in a requirements package will vary, depending on the
project and the type of requirements that were gathered.
Requirements may be “packaged” at any point in a project. Whenever requirements are
being presented to stakeholders, packaging them into a cohesive package will make
them easier to review.
If the package is created with the intention of making it a baseline for purposes of
change control, the requirements documentation must be complete in order to prepare
the requirements package. The requirements package is used in the review of the
requirements, which will result in the sign off of the requirements.
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If the package is being created at some other point during requirements development,
subsets of the requirements may be all that is required.
.2
Identify Each Stakeholder’s Presentation Requirements & Preferences
Each stakeholder who will review the requirements may have different communication
needs. The Business Analyst must determine what the level of detail, language, and
formality is appropriate for each type of stakeholder and devise the best way to
effectively convey information. The following are some sample considerations:
Executive sponsors and management often want summaries and high level
requirements. Their primary goal is to understand that the solution will meet
the return on investment expectations in accordance with their business plan.
•
Stakeholders in the customer/business area need requirements that are written
in business language, and simple to understand and review. They must fully
understand each requirement in detail, since it is this group that will be most
affected by the solution implemented.
•
Implementers of requirements will need very detailed descriptions of what
success criteria for the new procedures and processes must be met.
•
Technical designers and developers will need very detailed information on the
functional, user interface and technical requirements in order to build the
solution.
•
Quality assurance analysts will need to understand what business benefits the
solution must produce so that they can develop a detailed testing strategy to
ensure that the system is not just built right, but that the right solution is built
to meet the expectations of the end business user.
DR
AF
T
•
•
External suppliers will need detailed technical interface requirements to order
to construct the proper network and security protocols in accordance with
corporate policies.
•
Geographic and cultural differences should also be considered.
.3
Determine appropriate content for each stakeholder
In addition, the business analyst should keep in mind that while there are advantages to
constructing different presentation formats depending on the unique needs of each
stakeholder, there are also disadvantages that result with maintaining multiple
requirements packages. The business analyst should develop a check list that will help
determine what communication vehicle to use and content that needs to be included.
The analyst should always keep in mind that the primary goal of the requirements
document is to convey information clearly and in an understandable fashion to the
audience that must review the content. To help decide how to present requirements,
the analyst should ask the following types of questions:
•
How detailed do the requirements need to be?
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•
What information is important to communicate? What is the appropriate level
of detail to include?
•
What will the particular stakeholder understand based on the type of audience
they represent and on that stakeholder’s preferred style of communication or
learning (e.g., technical vs. business owner, executive sponsor)
•
Is each requirement a true business requirement, or is it an
implementation/technology constraint? Is the requirement appropriate for the
type of audience that needs to review it?
•
How does the requirement support the previous and subsequent phases (i.e.
testing, implementation) or project activities and deliverables to facilitate
traceability?
AF
T
Although there is no right answer to each of these questions, business analysis
professionals use their judgment and experience to make these decisions, and should
develop a list of questions to help guide these decisions.
DR
In addition, when developing multiple presentation formats, the analyst must carefully
consider the downside of providing different requirements packages to different
audiences, and be prepared to maintain versions that ensure the information is
conveyed consistently. Managing various formats requires work, and the analyst must
be flexible and organized in order to support this as a viable solution. If the analyst
cannot keep multiple versions synchronized, or if the requirements are conveyed
inconsistently or conflict in the various presentation packages, this may result in the
following issues:
.4
•
The message will be perceived differently by different audiences, and perhaps,
incorrectly.
•
This may mislead the stakeholders.
•
This will confuse the stakeholders.
•
Ambiguity can result in the wrong solution being built.
Determine the formality of requirements
There is a spectrum of the formality in which requirements may be documented and
presented. A requirement may be presented very formally or very informally. A formal
presentation example would be the use of a standard, structured model like an entity
relationship diagram, including all of the associated diagrams, supporting text, detailed
attributes, and revision information. A requirement may be presented informally in an
e-mail message, a note, or even verbally. The Business Analyst should assess the project
requirements and determine the level of formality appropriate for each requirement.
Generally:
The larger the project, the more formal the requirements should be. This is because
more stakeholders are typically involved and more communication is required.
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•
The more formal the requirement, the more time that will be required to
prepare the presentation.
•
The less formal the requirement, the more risk that it will be misunderstood
and/or misinterpreted.
•
When assessing the stakeholders that will need to review the requirements, the
business analyst will consider which format option is the most appropriate
communication vehicle for the group. This assessment will take into
consideration the level of formality that is needed.
Requirements documentation will be more formal under the following circumstances:
The project is very large and may be delivered in phases
•
The business area(s) involved are very complex
•
The technology employed is new
•
The project is considered to be mission critical
•
The executive sponsor requires formality
•
The requirements are likely to be subject to regulatory review
•
The requirements will be presented to an outside organization and/or an
RFQ/RFP will be issued
AF
T
•
DR
On a small or agile style project, requirements may be informal.
The Business Analyst must present requirements in a format that supports the project
methodology and ensure that the stakeholders will review, understand, and approve
them. Working within the framework of these guidelines, the business analyst will
decide the appropriate communication vehicle and level of formality to employ for each
stakeholder that will review the requirements.
.5
Select appropriate presentation format for each audience
The business analyst when selecting the appropriate presentation format for an
audience should consider that there is a difference between a “work product” and what
is considered to be the final “deliverable”. Not every document that the Business
Analyst produces is appropriate to communicate to the stakeholders.
A “work product” is a document or collection of notes or diagrams that is used by the
business analyst to organize and analyze the requirements. Work products help with
business analysis work by allowing the analyst to think thorough raw information and
use it to develop a deliverable. The work product may or may not become a deliverable,
although during different phases of the requirements eliciting process, the business
analyst may need to share this information with stakeholders in order to clarify
requirements or drive down to more detail. Examples of work products might be:
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Meeting agendas and minutes
•
Interview questions and notes
•
Facilitation session agendas and notes
•
Issues log
•
Work plan, status reports
•
Presentation slides used during the project
•
Traceability matrices
77
AF
T
A “deliverable” is a document that is recommended by the project methodology
showing the work that has been completed on the project. A requirement deliverable is
used in subsequent phases of the project to implement the solution. Not every note and
document that a business analyst creates is necessary to be included in a requirements
package for review and signoff. The business analyst must understand the difference
between these two concepts and use the “deliverables” as communication mechanisms.
The business analyst will assess the needs of the audience, determine the level of detail
that needs to be communicated, and ascertain which deliverables to include in each
presentation package.
DR
Deliverables are agreed upon at the beginning of the project (see Business Analysis
Planning and Monitoring KA) and are used by the project manager to assess progress
on the project. The deliverable acts as a “contract” for the project defining the agreed
upon work. The deliverable becomes a project asset because it represents a project
output.
Creating a requirements package should encompass the following activities:
Determine which components of the overall comprehensive requirements document
should be grouped together
The business analyst will consider the best way to combine and present the materials,
so that they convey a cohesive, effective message to one or more audiences that will
participate in the requirements review process. This may result in more than one
requirements package being created for the same project.
Evaluate the documentation required based on the type of project
There are many factors about a specific project that will determine what components
are included in a requirements package. Samples of variables to be considered are:
•
The size and scope of the project
•
Whether requirements are for an internal project or for an external vendor
•
The type of project (i.e. application development vs. software version upgrade)
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Each project may necessitate a different format or style of requirements package and
there are numerous methods to categorize and document the requirements effectively
[See the Knowledge Area Requirements Analysis] A good requirements package will
include all or a portion of the overall project requirements, such as project scope, as
well as business, functional, non-functional and technical requirements. It may contain
text, diagrams and graphics, or combinations of different formats.
Overall, the business analyst must become adept in building an effective requirements
package in order to ensure that the requirements are complete, understandable, and
can be clearly conveyed to the intended audience.
Package the requirements for presentation
Each requirements package may have a Table of Contents outlining what is included in
the package. Grouping of the requirements into categories should be clearly identified
in the Table of Contents for ease of navigation.
AF
T
The business analyst should give careful consideration must be given to what types of
information should be included in a requirements package, and that the content may
vary among different projects. Some key factors to help guide the analyst’s decision will
be the type of project, and also the individual needs of the audience that will have
review and sign off responsibility for the project.
The business analyst should consider:
(1) The size and scope of the project.
DR
Different projects will necessitate different deliverables, and the extent of
documentation that is needed in the final package will vary depending on the project.
Some examples are:
•
A new, customized in-house software development project. In this
scenario, all requirements may need to be included.
•
Upgrading the technology or infrastructure of a current system. In this
scenario, only the technical requirements may need to be included in the
package.
•
Change in a business process or new data for an existing application. In
this scenario, the process and data requirements, business rules, functional and
technical requirements will be needed.
•
Purchase of a software package. This type of project will likely require a
Request For Proposal, and the package will need to include the business
requirements, technical requirements, limited functional requirements and
other vendor specifications.
•
Short, focused, agile style iterations of software development. These
projects may not specify any formal requirements documentation. Whiteboard,
flip charts, user stories cards may suffice.
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(2) The varied interests of the audience.
The audience must clearly understand the requirements that the business analyst has
documented, and it is the responsibility of the analyst to ensure that the requirements
are conveyed correctly by bundling them effectively for presentation. The business
analyst must adequately understand the communication needs of the audience, since it
is often how the message is conveyed and not the message itself that results in
miscommunication and comprehension failure. Even though the requirements may be
thoroughly documented, the inability to convey them accurately to the audience will
put the overall project implementation at risk.
The following factors should be considered:
Assessing the needs of the audience and realizing that different stakeholders
may require different communication strategies. The business analyst should
try where possible to minimize creating and maintaining multiple versions of a
requirements document that may be difficult to synchronize going forward.
Creation of multiple versions may be unavoidable, but the business analyst
should try to identify which components of the overall documentation should
be the focus for each recipient of the information, and then determine how to
present the right level of detail to that audience so that the message is
accurately conveyed.
•
Categorizing the audience into groups. The following typical group
classifications should be considered, but the needs of each project will differ
depending on the participants:
AF
T
•
Executive Business Sponsors. This group will require an executive
summary level of detail. The project scope may suffice, including the
ROI (Return on Investment) assessment, business benefits, project cost
and target implementation date(s). Requirements sign off may be
provided at this level.
o
Subject Matter Experts. This group will be primarily concerned how
operational processes are affected by the implementation of the project,
and will be interested in ensuring that the requirements they provided
to the business analyst during the requirements elicitation are
achieved. The subject matter experts will need to understand the user
interface requirements, the workflows, and the data and quality
requirements.
o
Quality Assurance Analysts. This group will focus on understanding
the critical success factors of the project based on the needs of the
business users, and they must obtain a thorough understanding of the
functional requirements and systems Use Cases in order to build an
effective testing strategy. This group is concerned that the quality
expectations of the business users are met.
DR
o
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Outside customers/suppliers. This group will be concerned with the
technical requirements, primarily the interfaces, security requirements
and any documented technical constraints.
o
Security, legal and audit representatives. This group will ensure that
the corporate standards are met regarding security, legal and audit
requirements.
o
Technical solution providers. This is the technical group that will
build the system. They will need to obtain an understanding of the
overall requirements for the project, and will focus on the functional
specifications and technical requirements, based on which they will
design the solution.
o
External Vendors. Depending on the project and the vendor, the
business analyst may participate in, or be responsible for, the RFI
(Request For Information), the RFQ (Request for Quote) or the RFP
(Request for Proposal)
AF
T
o
3.5.5
DR
The above are only examples of disparate audience considerations that the Business
Analyst must address when determining how to package requirements effectively for
review and sign off. To create an effective requirements package, the analyst needs to
understand the primary concerns of each group, and then determine what message
must be conveyed to them. The Business Analyst can employ different strategies, such
as creating a presentation that highlights the primary area of concern for each group,
and couple this presentation with the requirements package. The presentation can help
focus attention on the area that the stakeholder is primarily concerned with
understanding, and help ensure that the stakeholder is fully focused on the
requirements that will bring them the return on investment they are expecting to
achieve.
Techniques
None.
3.5.6
Stakeholders
•
Sponsor(s) of the project
•
Business representative of each affected business area specifically involved
during requirements elicitation
•
Technical team
•
Quality assurance
•
Security personnel
•
Governing agencies/bodies
•
Outside customers/suppliers
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81
Output
•
Requirements package
•
Each requirement deliverable in the appropriate format(s) for presenting
requirements to relevant stakeholders.
The result of this task is a requirements presentation (document) or package of
requirements ready to be reviewed by stakeholders. A package may contain all of the
project requirements or may be broken into several sub-packages. A package should
also contain a table of contents for ease of use and a revision log to document changes
along with any supporting associated documentation. A package of requirements will
be reviewed, revised, and approved by project stakeholders.
3.6
Task: Communicate Requirements
3.6.1
Purpose
3.6.2
AF
T
Communicating requirements is an important aspect of business analysis is working to
bring the stakeholders to a common understanding of the requirements. Because the
stakeholders represent people from different backgrounds and knowledge areas, this
communication is essential.
Description
DR
Communicating requirements includes an infinite number of conversations, notes,
documents, presentations, and discussions. Concise, appropriate, effective
communication requires the analyst possess a significant set of skills, both soft
(communication) and technical (i.e. requirements).
Communication skills are required for every other task in the BA BOK. Oral/verbal
communications are frequently used during elicitation. Written communications are
used for documenting requirements and presenting solution options. Facilitation,
negotiation and consensus building are used to work with groups of stakeholders.
Requirements may be in conflict with other requirements. Communication and
facilitation skills are required to articulate and resolve conflicts.
3.6.3
3.6.4
Input
•
Requirements
•
Business analysis communication plan
Elements
Interaction with all stakeholders before, during and after projects with respect to
requirements, product/solution scope, and business case. This includes interaction
with technical partners and other business subject matter experts to assure that
requirements are correctly understood and implemented. Requirements
communication is performed continuously and in conjunction with most of the tasks in
the other knowledge areas.
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3.6.6
•
Business Analysis Planning and Monitoring – plans for business analysis work
are made through communication with all stakeholders. Business analysis
work is monitored through status reporting both verbally and in writing.
•
Enterprise Analysis – business case and product/solution scoping information is
communicated.
•
Elicitation – Each elicitation technique requires specific communication skills.
•
Requirements Analysis – requirements are refined, modified, clarified and
finalized using communication.
•
Solution Assessment and Validation – Work with technical partners, QA, and
other stakeholders working on the implementation and rollout of the solution
are in constant communication with business analysis professionals.
Techniques
•
RFI, RFQ, RFP (see KA Solution Assessment and Validation)
•
Conducting a requirements presentation
•
Conducting a requirements review
•
Manage requirements conflicts
AF
T
3.6.5
Stakeholders
DR
All.
3.6.7
82
Output
•
Communicated requirements
•
List of agreed upon amendments to requirements
•
List of actions for the business analyst
•
Outstanding issues (i.e. requirements needing clarification)
•
Technical team action items (i.e. clarify feasibility of delivering a particular
requirement)
•
Approved requirements
3.7
Technique: Manage Requirements Conflicts
3.7.1
Purpose
To acknowledge, address and resolve any disagreements or conflicts that stakeholders
may have about requirements.
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Description
When requirements must serve more than one stakeholder’s need, there may be conflict
in the expectations of each stakeholder from the requirements. Requirements may be in
conflict with other requirements. Inconsistent requirements cannot be satisfied by the
same solution.
The business analyst’s responsibility lies in ensuring the requirements meet the overall
business needs for the project. If there is conflict, the BA may gather all parties together
to resolve the conflict, or they may leave the resolution to the involved parties. Conflicts
can be addressed by face to face meetings, interviews with other parties, or business
analysis research. When the parties in conflict cannot meet in person, the BA may use
distance communication techniques (i.e. teleconferencing) to resolve the conflict.
It is important that all issues and conflicts about requirements are documented in a
Requirements Issues log so that all impacted parties are able to see the same
information.
Elements
AF
T
3.7.3
DR
When a conflict arises between stakeholders on one or more documented requirements,
record the conflict in the Requirements Issues Log. This log can be a simple table to
contain pertinent information, or it can be a more comprehensive document,
depending on the organization and its’ policies. The log allows the team to have a
history of requirements agreements. Other conflicts resolved by the BA may be logged if
the resolution is significant to the project solution. Conflicts that are resolved between
stakeholders without changes to requirements or solution components may not be
logged (i.e. minor personal conflicts).
Once the issue has been documented, the business analyst will facilitate
communication between the stakeholders that are in conflict over the requirement to
resolve the issue. Often, the business analyst can resolve the conflict through research
or other communication without facilitating a formal stakeholder session.
Requirements conflicts must have an audit trail of the decision or resolution. The
business analyst will coordinate the resolution of the conflict by organizing the
meetings, documenting and distributing the results, and obtaining sign off for the
resolution.
3.7.4
Usage Considerations
.1
Advantages
Resulting requirements are agreed upon by team
.2
Disadvantages
Researching, discussing and resolving conflicts can take a significant amount of time.
The business analyst must keep the project manager informed of progress.
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3.8
Technique: Requirements Presentation
3.8.1
Purpose
84
The business analyst may conduct one or more presentations throughout the project.
Before making any presentations of requirements to an audience the business analyst
must first understand the objective of the presentation and the intended audience.
The objective of the presentation may be:
3.8.2
•
to review, prioritize or to communicate status
•
to ensure quality or enhance clarity
•
to obtain stakeholder buy-in and sign off
Description
AF
T
Presentations may be informal or formal. The business analyst should consult with the
project manager to ensure that the reason for the presentation is clearly understood.
These are some examples of requirements deliverables that may be the subject of a
presentation.
Business requirements
•
Functional requirements
•
Data and behavior models
•
Process/ flow models
•
Other ‘diagrammatic model’
•
Prototypes
•
User stories
DR
•
3.8.3
Elements
The business analysis communication plan should outline formal and informal
presentation needs. (See the Knowledge Area Business Analysis Planning and
Monitoring.) The business analyst may plan presentations at the beginning of a project
or may determine ad-hoc needs throughout the project. Alternatively, the project
manager or stakeholders may request presentations to facilitate communication or
consensus.
The business analyst must determine an appropriate format of the presentation. The
formality of the presentation is driven by the objective of the communication and the
audience needs. For example the business analyst may be required to present key points
using a formal presentation (i.e. presentation slides.) This may be necessary to present
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to senior business users who are not actively involved in the detail of the project but
need to understand requirements at a higher level.
A presentation may be used:
to ensure that internal project quality standards have been adhered to
•
to ensure cross-functional fit with other business process areas within the same
project
•
to obtain business acceptance and sign-off
•
to obtain delivery team sign-off
•
to obtain testing team sign-off
•
as a precursor to delivery i.e. to start to examine solution options with a delivery
team
•
to prioritize a set of requirements before proceeding to next project stage
•
as a de-scoping/project review exercise
.1
AF
T
•
Formal presentation
DR
A formal presentation is given by a BA when requested by a project stakeholder or is a
common practice in the organization’s analysis process. Formal presentations typically
disseminate information by presenting it in a well organized, structured format.
Audience members may be given supporting materials before or during the
presentation. Audience participation/questions may be encouraged.
.2
Informal presentation
An informal presentation may be used:
•
as informal status check of requirements (e.g. completeness, correctness,
impact on other areas)
•
to communicate requirements to the delivery team or testing team to ensure
there is no ambiguity
•
to communicate requirements to affected business areas (those not having
sign-off authority but where knowledge of changes is required)
•
to communicate requirements to other project teams e.g. training,
communication.
•
as a facilitation exercise to enhance requirement clarity (e.g. by bringing
business users and technical teams together, a common understanding can be
reached on the relevance/importance of individual requirements as well as the
feasibility of delivering individual requirements).
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Where the objective of the presentation is a review or inspection of requirements,
further information is detailed in section X.9 “Conduct a requirements review”.
Whether formal or informal, the business analyst should ensure that the presentation
has a structure consisting of the following:
•
Introduction of parties attending presentation
•
Statement of presentation objectives
•
Project background
•
Presentation/review of deliverable
•
Agreement of actions/changes required
•
Review of deliverable status (e.g. signed off, not signed off, etc.)
AF
T
The objectives of the presentation should be stated and agreed at the start of the
presentation.
The outputs from the presentation are likely to include the following (depending on the
purpose of the presentation):
List of agreed amendments (possibly containing de-scoped requirements)
List of actions for Business Analyst
•
Actions for business users requiring clarification
•
Delivery team actions (e.g. clarify feasibility of delivering a particular
requirement)
•
Agreement as to whether the objectives of the presentation were met (and
could be one of the following)
•
Requirements approval
•
Requirements approval with minor amendments
•
Requirements not accepted/ not approved
•
List of unresolved issues with associated assumptions
DR
•
3.8.4
Usage Considerations
.1
Advantages
Clearly communicated requirements.
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87
Disadvantages
Requires BA have strong presentation skills (see Fundamentals for more information)
3.9
Technique: Requirements Review
3.9.1
Purpose
The purpose of a requirements review is to have project stakeholders verify the
accuracy of the requirements. A requirements review may be conducted at any time
during the project. Typically reviews are an iterative activity beginning with business
analyst peer reviews during requirements development and becoming more formal over
time. The audience for the reviews expands to include project stakeholders and
ultimately the review process will lead to approval of the requirements by all of the
stakeholders.
The purpose of the review should be clearly stated and may encompass any of the
following:
completeness of requirements (all requirements have been captured)
•
removal of superfluous requirements
•
clarity of requirements (removal of ambiguity)
•
correctness of requirements (the requirement reflects the business need or
business rule)
•
scope (the requirement fits within the stated scope of the project)
•
conformance to project/organizational quality standards
•
feasibility of requirements
•
prioritization of requirements
DR
AF
T
•
3.9.2
Description
A requirements review is a working group session where invited participants meet after
reviewing the requirements on their own. During the working session, the requirements
are reviewed and discussed by the group, each participant expressing his or her
questions, comments and suggestions. As this feedback is discussed the group may also
notice other issues with the clarity or completeness of the document. All questions,
comments, concerns, and suggestions are recorded. If the group can agree on a
particular change, that change is recorded. After the session the author of the document
performs additional requirements elicitation, analysis and documentation and makes
the appropriate changes. Significant changes often necessitate a second review.
Reviews are also referred to by other names such as walkthroughs or inspections.
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88
Elements
To conduct a requirements review the business analyst must have:
•
A complete requirements document
•
A list of appropriate reviewers
•
A meeting vehicle
•
Facilitation skills
A complete requirements document: At least one of the technique specific
requirements models (or deliverables) described in the Knowledge Area Requirements
Analysis must be complete to schedule a review. The review may cover only one
requirement document, several related documents, or an entire requirements package.
AF
T
A list of appropriate reviewers: Reviewers may be project stakeholders, other business
analysts, or other resources with specific expertise in the type of requirement being
reviewed. Appropriate reviewers will include:
Knowledgeable representatives of stakeholders who contributed to the
requirements
•
Knowledgeable representatives of stakeholders who will use the requirements
in development of the solution
•
Reviewers representing the project’s customers must be approved by the
customer’s management and be authorized to make decisions as the customer’s
representative.
DR
•
A meeting vehicle: A review may be held in a conference room with all participants
present or it may be held using a technical facility allowing participants in remote
locations to participate (i.e. collaboration tool, videoconference, internet meeting ware).
Facilitation skills: See Underlying Competencies for a description of facilitation skills.
A requirements review involves a very structured process and has key elements (roles).
The process of conducting a requirements review consists of the following steps:
•
Prepare the document(s) to be reviewed
•
Organize and schedule the review
•
Determine participants
•
Secure a location/facility
•
Deliver document(s) to participants
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Conduct the review
•
Compile notes and results of the review
•
Re-review if necessary.
.1
89
Prepare the document(s) to be reviewed
The requirements document should be complete and presented with any appropriate
legend and supporting documentation so that reviewers can perform a thorough
review.
It is also helpful to give review participants a checklist of items for which the reviewer
should be looking. Examples of specific items to be discussed during the review are
requirements that are out of scope, requirements that are describe how the
requirement will be implemented instead of the true business need, or the accuracy of
the description of the current business process.
.2
Organize and Schedule Review
AF
T
The business analyst must ensure that sufficient notice is given prior to the review. This
will be determined by the deliverable under review and should be agreed with the
project manager.
The document to be reviewed should be issued to all review parties prior to the review
meeting to allow sufficient time for each reviewer to familiarize themselves with the
document. The attendees of the review should be agreed by the project manager and as
a minimum will include the stated signatories for the deliverable.
DR
The business analyst must understand the structured and nature of a requirements
review session.
•
Determine appropriate reviewers
•
Tell reviewers what they should be looking for
•
Schedule review time
•
Conduct review
•
Record changes/suggestions
•
Update requirements
Reviewers should understand that the purpose of the review is to find and remove
unclear, inconsistent and incorrect requirements.
.3
Conduct the Review
The business analyst should ensure that the review has a structure consisting of the
following:
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Introduction of parties attending presentation
•
Statement of purpose of the reviewed deliverable
•
Statement of review objectives
•
Project background (if required for external parties)
•
Formal walkthrough/review of deliverable
•
Agreement of actions/changes required
•
Review of deliverable status (e.g. signed-off, not signed off, etc.)
.4
90
Compile notes and results of the review
The BA is responsible for making sure that all participant comments are recorded and
considered for revisions to the requirements document.
•
There are quality improvements that can be made to the requirements
document
•
The requirements document is not acceptable in its current form
•
Additional reviewers are required to comment on or approve the requirements
document
Re-review if necessary
DR
.5
AF
T
At the end of the review, it should be agreed whether:
A decision will also be made as to whether another review/inspection is required if the
deliverable has not been accepted.
.6
Roles involved in a requirements review
The following roles are often involved in a requirements review.
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Played by
Description
Author
Author of the requirements
document, typically the BA. This
role is mandatory. A review should
not be conducted without the
presence of the author.
Answers questions about the
document, listens to suggestions,
comments. Incorporates changes
into the document after the
review session.
Recorder
This role may be played by any
project team member who is
familiar with the project. This role
may be played by the author.
Person who documents all
suggestions, comments, issues,
concerns, outstanding questions
that are raised during the review.
Moderator
A neutral facilitator. Often is played
by a BA or a QA analyst. This role is
mandatory. It is best if the author
of the document is not the
moderator although resource
constraints often necessitate this
situation.
Facilitates the working session,
keeping participants focused
each section of the requirements
document as it is discussed.
Verifies that all participants have
reviewed the document before
the session begins. Ensures that
all participants are participating in
the review.
AF
T
Role name
This is another BA who has
experience preparing similar
requirements documents.
The peer reviews the document
for its adherence to good
requirements documentation
standards.
Other reviewers
Any person with interest in the
project. See stakeholders section
below.
Reviews the document prior to
the working session. Presents
questions, comments, suggested
changes and discusses them with
the group.
DR
Peer of the author
.7
Rules to be followed during the review
There are several rules that should be followed when conducting a requirements review.
The moderator is responsible for making sure that all participants adhere to the rules.
•
Supervisors or managers (especially of the author) should not attend the review
•
Reviewers must review and comment on the content, not on the author
•
Participants must review the document before the session
The business analyst must determine the appropriate project stakeholders to
participate in a requirements review.
A few examples are provided below:
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Requirement being reviewed
Rationale for participation
Data architect or DBA or
database designer
Logical data model (presented in
an Entity relationship diagram)
The technical architect will be using
the logical business requirements to
build a solution data structure and
as such must understand the
business needs for the data. He or
she will also be able to ask key
questions about the data structure
and help to find any missing pieces.
Executive Sponsor
Project statement of purpose and
objectives
The executive sponsor is
responsible for funding the project
and as such must approve of the
project purpose and objectives. He
or she will have questions about the
stated purpose to assure that his or
her needs will be met.
Business area manager
(SME)
Process decomposition diagram
A business area manager
understands the business area from
a high level and is able to review
process descriptions and hierarchy
to verify that the business analyst
has accurately captured the
business processes.
Business area worker
(SME)
Workflow diagram
AF
T
Stakeholder
DR
Use Case description
A business area worker understands
the detailed processes of the
business and can review a detailed
requirements document that
represents the business work.
IT developer
Use case description
A developer will use the use case
description to develop a feature of
the application and as such can
assess the quality of the
requirement and its usefulness of
the requirements.
QA analyst
Any document
QA analysts are excellent reviewers
of any requirements document
because they are trained to look for
inconsistencies and inaccuracies.
Project manager
Project scope (presented in a
context level data flow diagram)
The project manager is responsible
for project change control and as
such must agree on the boundaries
of the business area for which
requirements will be gathered.
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The deliverable of a requirements review is a list of questions, comments, concerns, and
suggestions that are compiled during the working session..
3.9.4
Usage Considerations
.1
Advantages
Better quality requirements
.2
Disadvantages
Takes time and resources
3.10
Technique: Formal Requirements Approval
3.10.1
Purpose
3.10.2
AF
T
Requirements signoff formalizes agreement by project stakeholders that the content
and presentation of the requirements, as documented, are accurate and complete.
Formal agreement reduces the risk that, during or subsequent to implementation, a
stakeholder will introduce a new (previously undiscovered) requirement.
Description
DR
Obtaining requirements signoff typically involves a face-to-face final review of
requirements, as documented, with each project stakeholder. At the end each review,
the stakeholder is asked to formally approve the reviewed requirements document.
This approval may be recorded either physically or electronically. In some
organizations, verbal approval is acceptable.
3.10.3
Elements
Obtaining requirements signoff is typically the final task within Requirements
Management and Communication. The Business Analyst will require the output from
the Requirements Review(s), including accommodation of any comments or objections
which were raised during the review process.
On an ideal project, all stakeholders will review and sign off on all requirements.
Comprehensive signoff by each stakeholder tends to promote more detailed review,
resulting in greater consistency of stakeholder understanding and expectation.
However, in projects where many requirements apply to only a subset of stakeholders, it
may be more practical to ask each stakeholder to sign off only on those requirements
which are directly pertinent. In such case, a specific list of the requirements
specifications the stakeholder is approving, and a complementary list of the
requirements specifications which the stakeholder is not approving (but to which the
stakeholder explicitly has no objection) should be prepared. Under such circumstances,
it is incumbent upon the Business Analyst to assure that each individual requirements
specification is explicitly approved by at least one appropriate project stakeholder.
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The technique is complete when all project stakeholders have signed off. Completion of
requirements signoff should be announced to the project team, and may constitute a
project milestone.
The complete set of stakeholder signatures/approvals should be filed in the project
archives.
3.10.4
Usage Considerations
.1
Advantages
Secure approval of requirements and continue project.
.2
Disadvantages
May delay project.
Technique: Baselining
3.11.1
Purpose
AF
T
3.11
To set an agreed upon base of understanding. Once a baseline has been set, changes to
the agreed upon baseline must be assessed and approved.
3.11.2
Description
DR
The technique of baselining can be used on many objects. Project plans are often
baselined once they have been approved to make sure that the project stays on the plan.
In business analysis requirements are baselined for the same reason. Baselining
requirements is important because business stakeholders and the technical team will
see opportunities for more requirements as the project progresses. The baselined
requirements serve as a reminder for the entire team of the original requirements scope
and boundaries. It forces the team to consider the ramifications of changes or additions
to the requirements.
In agile/iterative style projects once a group of requirements are selected for an
iteration, the requirements are not changed. This is effectively the baseline. Additional
requirements are considered for future iterations.
3.11.3
Elements
To be supplied
3.11.4
Usage Considerations
.1
Advantages
Baselining provides a clear point of agreement and sets a clear boundary for scope
going forward.
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Disadvantages
DR
AF
T
Changes to the original baseline require a formal change control process which may
slow down the project.
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Chapter 4: Enterprise Analysis
4.1
Introduction
4.1.1
Knowledge Area Definition and Scope
The Enterprise Analysis Knowledge Area consists of the collection of tasks for analyzing
the business situation to fully understand business problems and opportunities, and
assessing the current and future views of the enterprise to understand the change needed
to meet business needs and achieve strategic goals. Enterprise analysis outputs provide
context to requirements elicitation, analysis, documentation and validation, and to
solution identification for a given initiative and/or for long-term planning.
AF
T
Enterprise analysis is often the starting point for initiating a new project and is continued
as changes occur and more information becomes available. To initiate large change
initiatives, this analysis work is often treated as an investigative feasibility study and/or
business architecture endeavor and may be managed as a stand-alone project or formal
project phase. For smaller change efforts, these activities are typically performed in a less
formal manner. It is through enterprise analysis activities that the business requirements
are identified and documented. Business requirements are defined as high-level statements
of the goals, objectives or needs of the enterprise. They describe such things as the reasons
why a project is initiated, the business outcomes that the project is expected to achieve,
and the metrics that will be used to measure success.
DR
Specifically, Enterprise Analysis is the Knowledge Area describes the business analysis
activities that take place for organizations to: (1) identify business problems to be solved
and opportunities to pursue to meet business needs and achieve strategic goals, (2)
determine the most feasible business solution option, (3) define the solution scope and
develop the business case for the proposed new project to implement the business
solution, (4) continue to assess, refine and validate the business need and solution during
the project, and (5) evaluate the business benefits brought about by the deployed solution.
These activities are performed before a project starts and may be repeated if the business
need changes, if a change request alters the solution scope, or are often conducted
repeatedly when performing continuous improvement. A new/changed business solution
may include implementation of business and/or technical components, e.g., new or
changed business units, processes, functions, locations, roles, desktop tools, training,
application systems and technical infrastructure. A project is defined as a temporary
endeavor undertaken to create a unique product, service, or result.1 An enterprise is an
organization or collection of organizations that share a set of common goals and has been
created for the purpose of providing products or services to customers. An enterprise can
be a government agency, a whole corporation, a division of a corporation, a single
department, or a chain of geographically distant organizations linked together by common
ownership.2
1
Project Management Institute. A Guide to the Project Management Body of Knowledge, Third Edition (PMBOK® Guide).Newtown Square,
Pennsylvania: Project Management Institute. 2004
2
The Open Group Architecture Framework, Frequently Asked Questions, Retrieved from the Internet on 05 September 2007.
http://www.opengroup.org/architecture/togaf8-doc/arch/toc.html
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As business analysis matures into a critical management discipline, organizations tend to
realize that it has two dimensions: (1) analysis to ensure an enterprise is investing in the
most valuable business solutions, and (2) eliciting, analyzing, documenting,
communicating and validating requirements to deliver the forecasted business benefits
from the project outcomes. In order to ensure they are investing in the most valuable
projects, management needs accurate, consistent and useful information about initiatives
that are currently funded, as well as proposed new ventures. Enterprise analysis tasks:
(1) Begin after the executive team of the enterprise develops strategic plans, goals, and
measures or when a business problem or a new business opportunity has been identified;
(2) Continue until enough information is gathered to propose new programs and
supporting projects;
(3) Continue during the project as the business analysis professional updates the enterprise
information as more is learned to ensure the business need is fully understood, to validate
that the solution is optimal, and to verify that the forecasted costs versus benefits remain
positive and therefore, continued investment in the project is warranted; and
Input
DR
4.1.2
AF
T
(4) End after the value of the deployed solution is evaluated to determine if the forecasted
business benefits have been attained and business goals have been met. Note that benefit
realization may not be possible until long after deployment of the new business solution.
The business benefit management or realization assessment is continually performed by
the business analysis professional for the life of the new business solution. (Solution
evaluation and benefits management is covered in more detail in the Solution Assessment
and Validation Knowledge Area.)
Inputs needed to accomplish enterprise analysis tasks include the following information
that is relevant to the area of the enterprise under analysis:
4.1.3
•
Business goals and objectives
•
Enterprise architecture
•
Business analysis plans for enterprise analysis activities (see Requirements
Planning and Management Knowledge Area)
Tasks
It is important to note that the enterprise analysis activities are scalable. The business
analysis professional makes key decisions about how much analysis is needed and what
expertise is required to conduct enterprise analysis activities. For significant, strategic
changes to the business, it may be prudent to assemble a team of subject matter experts
who will collaboratively work on the tasks. Typical expertise that is needed includes:
project management, financial analysis, knowledge of how technology supports the
business, and business domain knowledge. It is important that the team of experts invest
just enough time and resources to identify the recommended business solution and create
the business case. For smaller, more tactical change initiatives, the business analysis
professional may conduct the enterprise analysis tasks with little or no assistance. In that
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case, a simple project request form summarizing the elements listed below may be
sufficient.
Tasks that are essential pieces of work performed as part of enterprise analysis include
those listed below and explained in detail in this chapter.
4.1.4
•
Define the business need
•
Determine gap in capabilities to meet the business need
•
Determine the solution approach
•
Define the solution scope
•
Develop the business case
Techniques
AF
T
Methods of performing the enterprise analysis tasks include an array of techniques that are
designed to bring the new business opportunity and solution into view. The techniques are
described briefly here, and are elaborated in more detail at the end of this chapter.
Brainstorming to identify new business opportunities and potential solution
options
•
Competitive analysis and benchmark studies to examine the external environment
•
Decision analysis to determine the most valuable opportunity or solution option
•
Decomposition techniques to understand the scope of the effort to deploy the new
solution
•
Document analysis to assess the current state of the enterprise
•
Economic models and benefit analysis to estimate the value of the proposed
business solution
•
Enterprise architecture development to define current and target (future) states of
the business
•
Estimating techniques to forecast the size of the investment to deploy and operate
the proposed solution
•
Feasibility analysis to determine the most viable opportunity or solution option
•
Gap analysis to determine the necessary changes to meet the business need and
achieve business goals
•
Goal analysis to elaborate a strategic goal into objectives and measures
•
Interface identification and analysis to depict of the scope of work required to
integrate the new solution into the business and technical environments
DR
•
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•
Interviews to gather information about the current and future states of the
enterprise
•
Opportunity analysis to determine the potential benefits of the new venture
•
Problem analysis to determine the underlying source of a business problem
•
Scope Models to forecast the level effort to deploy the new solution
•
Strengths, weaknesses, opportunities and threats (SWOT) analysis to demonstrate
how the solution will help the organization maximize strengths and minimize
weaknesses
Output
Outputs resulting from enterprise analysis tasks include:
Business need
•
Gap in capabilities to meet the business need
•
Recommended solution approach
•
Solution scope
•
Business case
DR
AF
T
•
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DR
AF
T
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4.2
Task: Define the Business Need
4.2.1
Purpose
To identify business needs to solve business problems and/or take advantage of new
business opportunities to achieve the goals and objectives of the enterprise.
4.2.2
Description
Define a business problem or new business opportunity in enough detail to determine the
recommended solution. New business needs can be generated in several different ways:
From the top down, i.e., the need to achieve a strategic goal
•
From the bottom up, i.e., a problem with the current state of a process, function or
system
•
From middle management, i.e., a manager needs additional information to make
sound decisions or must perform additional functions to meet business objectives
•
From external drivers, i.e., driven by customer demand or business competition in
the marketplace
AF
T
4.2.3
•
Input
4.2.4
DR
Inputs needed to define the business need include the following information that is
relevant to the area of the enterprise under analysis:
•
Business goals and objectives
•
Business analysis plans for enterprise analysis activities (see Requirements
Planning and Management Knowledge Area)
Elements
For small, straightforward efforts, this task might simply involve interviews with end users
to document the issue at hand. For more strategic problems and/or opportunities, more
rigorous analysis is likely needed. Elements include:
.1 Confirm strategic intent
.2 Define the business problem or opportunity
.1
Confirm Strategic Intent
To ensure that the enterprise analysis activities and recommended new solution approach
are strategically aligned, goal analysis and decomposition is performed to convert strategic
goals into the business objectives that are driving the business need.
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Define the Business Problem or Opportunity
To define a business problem, document the problem in as much detail as possible.
Determine any adverse impacts the problem is causing within the organization and
quantify those impacts (e.g., potential lost revenue, inefficiencies, dissatisfied customers,
low employee morale). Determine how quickly the problem could potentially be resolved,
and the cost of doing nothing. Conduct analysis to determine the underlying source of the
problem. Determine the potential areas of investment required to address the problem to
guide the internal and external assessments (e.g., business process reengineering,
acquisition of an existing business, new, improved technology). Draft a requirements
statement describing the business need. Link problem resolution to strategic goals and
objectives to ensure strategic alignment.
4.2.5
AF
T
For potential new business opportunities, define the opportunity in as much detail as
possible including the events that led up to the discovery of the opportunity, and the
business benefits expected if the opportunity is pursued. Quantify the expected benefits
(e.g., increased revenue, reduced costs, increased market share). Determine how quickly
the business opportunity could be exploited and the cost of doing nothing. Determine the
potential areas of investment required to address the situation to guide the internal and
external assessments (e.g., business process reengineering, acquisition of an existing
business, new improved technology). Draft a requirements statement describing the
business need. Link the opportunity to strategic goals and objectives to ensure strategic
alignment.
Techniques
Typical techniques employed by the business analysis professional to define the business
need include those listed below.
Goal analysis and decomposition techniques to convert business goals into
achievable objectives and measures
•
Opportunity analysis to determine the potential benefits of the new venture
•
Problem analysis to determine the underlying source of a problem
DR
4.2.6
•
Stakeholders
The analysis activities required to define the business need focuses on the process,
competencies, capabilities and functional aspects of the enterprise or a portion of the
enterprise. It addresses the concerns of all stakeholders of the business area undergoing
change, including:
•
Executive who is the sponsor of the enterprise analysis activities
•
Executive and middle managers who are attempting to align the business and
technical operations with organizational strategies
•
Individual contributors who execute the business operations and are end users of
the application technology supporting their business processes
•
Project and operational team members who are striving to implement valuable
new business solutions
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•
Shareholders who are concerned with business governance processes
•
Customers and suppliers who interact with the business solutions
•
Government and regulatory bodies who are concerned with compliance to
regulations
Output
The output of this task is the defined business need.
4.3
Task: Determine the Gap in Capabilities to Meet the
Business Need
4.3.1
Purpose
To identify the areas of the enterprise that need to be changed to meet the business need.
4.3.2
Description
Input
DR
4.3.3
AF
T
To determine the amount of change that is required to achieve the business goals and
objectives, it is necessary to understand the business problem or opportunity in the
context of the specific business area(s) undergoing change, as well as the overall enterprise.
Change may be needed to any component of the enterprise, including (but not limited to):
business processes, functions, lines of business, organization structures, staff
competencies, knowledge and skills, training, facilities, desktop tools, organization
locations, data and information, application systems and/or technology infrastructure.
Inputs needed to determine the gap in capabilities include the following information that
is relevant to the area of the enterprise under analysis:
4.3.4
•
Business need
•
Enterprise architecture (see techniques section at the end of this chapter for a
definition of enterprise architecture)
Elements
For small, straightforward efforts, this task might simply involve interviews with end users
to document the issue at hand. For more strategic problems and/or opportunities, more
rigorous analysis is likely needed. Elements include:
.1 Conduct internal analysis
.2 Conduct external analysis
.3 Develop target state enterprise architecture
.4 Conduct gap analysis
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Conduct Internal Analysis
Determine the business drivers that have contributed to the need for the change. Gather as
much enterprise architecture information as is available about the current state of area of
the enterprise undergoing change. Depending on the scope of the enterprise under
analysis, the relevant information includes current state enterprise architecture artifacts
e.g.:
Documentation that describes the business goals and objectives
•
The business environment through a process or functional view
•
The information required to operate the business
•
Lines of business offering product and services
•
The external environment in which the business operates, from suppliers, through
the business operations, to the customers
•
Business units, organizational structures and locations, staff competencies
•
Relevant stakeholders, such as the government, regulatory agencies, customers,
suppliers, and employees
•
The technology that supports the business including software and hardware, local
and wide area networks, people, operations and projects with the organization's
overall strategy.
AF
T
•
DR
The goal is to understand the organization's business and how technology is supporting
those processes. If adequate information is not available, develop the models and other
descriptive information about the area of the enterprise that is under review.
.2
Conduct External Analysis
The external analysis consists of external research activities designed to uncover general
information about the area of the enterprise under review, including the industry, the
competitive environment, best practices, risks and results of actual similar approaches that
have been implemented by others. To conduct an analysis of the external environment,
review the results of any studies that might have been conducted in the recent past. If
current information is not available, conduct a formal or informal competitive analysis to
fully understand the state of the industry, and/or a benchmark study to determine best
practices in place at competitor enterprises.
.3
Develop Target State Enterprise Architecture
Develop the models and other descriptive information about the target state to be able to
determine the gap in capabilities needed to achieve the business objectives. Validate,
refine (or determine if they do not exist) and document the target state business vision,
strategy, goals, and objectives. In addition, document the relevant components of the
target state enterprise architecture.
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Conduct Gap Analysis
Compare the current and target state enterprise architectures to Identify gaps in the
organizational capabilities that need to be filled to support the target state business vision,
strategy, goals and objectives.
4.3.5
Techniques
Typical techniques employed by the business analysis professional to define the business
need include those listed below.
Competitive analysis and benchmark studies to examine the external environment
•
Document analysis to assess the current state of the enterprise
•
Enterprise architecture development to define current and target state of the
business
•
Gap analysis to determine the changes required to meet the business need and
achieve business goals
AF
T
4.3.6
•
Stakeholders
The analysis activities required to define the business need focuses on the process,
competencies, capabilities and functional aspects of the enterprise or a portion of the
enterprise. It addresses the concerns of all stakeholders of the business area undergoing
change, including:
Executive who is the sponsor of the enterprise analysis activities
•
Executive and middle managers who are attempting to align the business and
technical operations with organizational strategies
•
Individual contributors who execute the business operations and are end users of
the application technology supporting their business processes
•
Project and operational team members who are striving to implement valuable
new business solutions
•
Shareholders who are concerned with business governance processes
•
Customers and suppliers who interact with the business solutions
•
Government and regulatory bodies who are concerned with compliance to
regulations
DR
•
4.3.7
Output
The output of this task is the gap in capabilities to meet the business need, including:
•
Updates to current state enterprise architecture (if needed)
•
Results of competitive analysis and benchmark studies
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Target state enterprise architecture
4.4
Task: Determine the Recommended Solution Approach
4.4.1
Purpose
To determine and define the most viable solution approach to met the business need in
enough detail to define the solution scope and prepare the business case.
4.4.2
Description
4.4.3
Input
AF
T
For small, relatively straightforward efforts, the solution approach can likely be determined
by the business analysis professional alone or with a small team of experts examining the
manual and automated options in an informal working session. For larger change
initiatives requiring significant investment, it is prudent to conduct a more formal
feasibility study to determine the most viable solution option. A feasibility study is a
preliminary analysis of solution alternatives or options to determine whether and how
each option can provide an expected business benefit to meet the business need. A
feasibility study may address either a business problem to be resolved or a business
opportunity to be exploited.
Input to this task is the business need defined in the previous task, including:
Business need
•
Gap in capabilities to achieve target state
Elements
DR
4.4.4
•
Typical activities that are conducted to complete a feasibility analysis to determine the
recommended solution include the following:
.1
•
Review and validate the business drivers for the feasibility analysis
•
Identify all potential solution approach options
•
Conduct a feasibility analysis for each solution option and determine the
recommended solution approach to meet the business need
•
Prepare feasibility study report
Review and Validate the Business Drivers for the Feasibility Study
To initiate the feasibility study effort, the team of experts convened by the business analysis
professional reviews all existing information about the proposed initiative that was
produced during task 2.2, with particular emphasis on the gap analysis, to understand the
business drivers for the effort. The team then establishes specific, measurable objectives
that the recommended solution must meet based on the business need. These objectives
provide the basis for formulating solution options for consideration. In addition, the team
develops business benefit criteria upon which alternative solutions will be evaluated.
Business benefit criteria, in the form of both quantitative and qualitative measurements,
represent the factors by which to judge the feasibility of each solution option.
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The team defines the scope of activities to be performed during the study and determines
the format for the final feasibility study report. The business analysis professional often
reviews the information captured about the feasibility analysis effort with the executive
who will be the project sponsor if the project is funded, to validate requirements and scope
and to ensure the study will satisfy the business drivers.
.2
Identify all Potential Solution Approach Options
Identify as many potential options as possible to meet the business objectives and fill
identified gaps in capabilities. The list of possible alternatives should include the option of
doing nothing. This is the most creative part of the effort. Conduct a creative idea
generating session, and encourage original, ground-breaking thinking, so that the most
innovative ideas surface.
.3
Conduct a Feasibility Analysis for each Solution Approach Option and
Determine the Recommended Solution Approach to Meet the Business
Need
AF
T
Describe each solution option in as much detail as possible and assess the feasibility of
each option, analyzing: The operational, economic, technical, schedule, organizational,
cultural, legal and marketing feasibility. Capture consistent information for each option
and review results to ensure accuracy and completeness.
From the analysis data, determine the most viable option to meet the business need. Test
option hypothesis if risks are sufficiently high through prototyping, reviewing available
COTS (commercial-off-the-shelf) solutions in the marketplace, and/or comparing options
to external benchmarks.
.4
Prepare Feasibility Study Report
4.4.5
DR
Prepare a report describing the approach, the results of the feasibility analysis for each
identified solution option, the recommended solution option, and the rationale for the
recommended option. Share the results with the executive sponsor of the study and secure
approval to proceed to build the business case for the recommended option.
Techniques
Typical feasibility analysis methods include:
Brainstorming techniques to identify potential solution options including idea generation
and idea selection
Feasibility and decision analysis to determine the most viable and valuable solution
4.4.6
Stakeholders
Stakeholders who are involved in or impacted by feasibility analysis include the following:
•
Executive who is the sponsor of the enterprise analysis activities
•
Executive management who are making project investment decisions
•
Business process owners who will benefit from improvements in their business
operations
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108
Business unit managers who manage resources operating the business processes
and systems
Output
The output of this task is the recommended solution approach.
The recommended solution approach is typically documented in a feasibility study report.
A sample table of contents for a feasibility study document includes:
1. Executive Summary
2. Business problem or Opportunity
a. Current State of the Enterprise
b. Competitive Environment
c.
Business Situation
AF
T
3. Feasibility Study Process
a. Study Team Members
b. Solution Evaluation Criteria
c.
Feasibility Study Methods
DR
4. Solution Options
5. Alternative Feasibility Assessment
a. Option 1 – (Solution Option Name)
b. Description
c.
Feasibility Analysis
i. Benefits
ii. Costs
iii. Risks
iv. Issues
v. Assumptions and Constraints
vi. Economic Feasibility
vii. Time-to-Market Feasibility
viii. Cultural Feasibility
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ix. Operational Feasibility
x. Legal Feasibility
xi. Technical Feasibility
xii. Marketing Feasibility
6. Summary and Recommendations
a. Option Rankings
b. Option Recommended
7. Implementation Approach
8. Attachments
Task: Define the Solution Scope
4.5.1
Purpose
AF
T
4.5
The purpose of this task is to conceptualize the recommended solution in enough detail to
define the scope of work and prepare a business. The solution scope statement provides a
documented basis for building the business case. The solution scope statement includes:
Description of the business environment in enough detail to provide context to the
new project
•
Description of the business requirements in enough detail to understand the
business needs
•
Definition of the scope of the work that must be performed to deliver the solution
including major deliverables, project objectives, project assumptions, constraints
and a statement of the work3
DR
4.5.2
•
Description
The business analysis professional develops the high level scoping information that is
needed to build a business case for the proposed initiative. When conducting enterprise
analysis to prepare a business case, it is likely that a project manager has not yet been
assigned, since the project has not yet been approved. Since project scoping and defining is
typically a project management competency, enlist the assistance of an experienced
project management subject matter expert to help establish the boundaries of the business
problem and solution and define the scope. Also enlist the help of business and technical
experts to help scope the effort. It is useful if members of the team that defined the
business need and conducted the feasibility analysis also scope the effort and create the
business case.
3
Project Management Institute. A Guide to the Project Management Body of Knowledge, Third Edition (PMBOK® Guide).Newtown Square,
Pennsylvania: Project Management Institute. 2004
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Input
Inputs to this task include the following analysis outputs produced from the previous tasks:
4.5.4
•
Business Need
•
Updates to current state enterprise architecture (if needed)
•
Results of competitive analysis and benchmark studies
•
Target state architecture
•
Gap in capabilities to achieve target state
•
Recommended Solution Approach / Feasibility Study Report
Elements
Typical activities that are conducted to complete the scoping effort include the following:
Draft the solution scope statement
•
Identify deliverables
•
Describe the project approach
•
Define assumptions, constraints, and dependencies
AF
T
.1
•
Draft the Solution Scope Statement
DR
The team of experts describes the new solution in terms of the major features and
functions that are to be included. They clearly state in-scope and out-of-scope components
of the solution. In addition, they include a list of key stakeholders who will be involved in
or impacted by deployment of the new solution. Finally, they depict project boundaries in
terms of business units that will be impacted, business processes improved or redesigned,
process owners, and IT systems and technology that will likely be impacted.
.2
Identify Deliverables
It is important to identify both project and product (the new solution) deliverables to
understand the work effort and forecast the full costs of the project in the business case.
Project scope is defined as the work that must be performed to deliver a product, service,
or result with the specified features and functions; whereas, product scope is defined as the
features and functions that characterize a product, service or result.4 Determining the
scope of the deliverables involves identifying major project and solution (product)
deliverables and decomposing the work that must be performed into lower-level
deliverables. This deliverables decomposition is used to further define the scope and for
project cost and schedule estimating.
4
Project Management Institute. A Guide to the Project Management Body of Knowledge, Third Edition (PMBOK® Guide).Newtown Square,
Pennsylvania: Project Management Institute. 2004
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Describe the Project Approach
Describe the initial project approach and structure, including the development
methodology to be used, and initial thoughts on an implementation approach, (e.g.,
partitioning the proposed project into releases that will deliver useful subsets of
functionality to the business, outsourcing development of the entire solution, purchasing
an existing system and integrating the solution into current business processes and
technology).
.4
Define Assumptions, Constraints, and Dependencies
Capture any assumptions made and constraints identified during the scoping effort. In
addition, define major business and technical dependencies that will impose constraints to
the effort to deploy the solution. Include any schedule or funding limitations and
significant standards, policies, regulations to be followed and supporting data required.
4.5.5
Techniques
Typical scope analysis methods include the following.
Decomposition techniques to understand the scope of work
•
Scope Models to forecast the work that must be performed to deliver the new
business solution. There are many types of scope diagrams. Refer to Table X-X for
an overview of models for the various scope dimensions:5
AF
T
•
Scope Dimension
Who
What
DR
When
Why
How
Potential Scope Models
Stakeholder List; Stakeholder Categories, Organisational diagrams
Context Diagram, Glossary, Relationship Map, work breakdown structure,
product breakdown structure
Event-Response Table, Transition State diagrams
Business Policies, Business Rules matrix, Market trends and patterns
Process Maps, Use Case Diagrams, Process Architecture
System interface analysis to depict of the scope of work required to integrate the new
solution into the business and technical environments.
4.5.6
Stakeholders
Key stakeholders who are involved in or impacted by the proposed business solution
scoping activities include:
5
•
Executive who is the sponsor of the enterprise analysis activities
•
Business process owner(s) and business process subject matter experts for the
business area to be changed. The business process experts will assist in defining
the project objectives, business area constraints and the process boundaries of the
project
Gottesdiener, Ellen. The Software Requirements Memory Jogger. Salem, NH: GOAL/QPC. 2005 p. 114.
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•
IT managers who are supporting the business area. The IT manager will to help
scope the components of the business process that will be supported with
technology
•
The project investment governance group
Output
The output from this effort is the solution scope.
This scope information is typically comprised of the following elements:
•
Scope statement to deploy the recommended solution approach including
boundaries often portrayed in a scope diagram to provide a visual model of the
scope of the project and major deliverables
•
Major deliverables to be produced to deploy the recommended solution
•
Initial project approach including resource requirements, methodology, tools, and
training requirements and implementation strategy
•
Assumptions and constraints, including any schedule or funding limitations and
significant standards, policies, regulations to be followed, and major dependencies,
including downstream systems, interfaces, and supporting data required
AF
T
•
4.6
Task: Develop the Business Case
4.6.1
Purpose
4.6.2
DR
The purpose of the business case is to inform management about the proposed new
project; it serves as a basis for management to determine whether investment in the new or
changed business solution is warranted. The information collected during enterprise
analysis activities is used to develop the business case.
Description
The business case describes the justification for the project in terms of the value to be
added to the business as a result of the deployed solution, as compared to the cost to
develop and operate the solution. The business case usually includes information about the
opportunity in terms of the market trends, competitive environment and expected market
penetration if studies are not available to provide this context information. The business
case also includes qualitative and quantitative benefits, estimates of cost and time to
breakeven, profit expectations, and follow-on opportunities. The business case may
present expected cash flow consequences of the action over time, and the methods and
rationale that were used for quantifying benefits and costs. This provides a framework to
demonstrate how the initiative is expected to achieve business objectives.
The business case also discusses the impact of the proposed change initiative on the
business and technology operations and infrastructure. In addition, the business case lists
the constraints associated with the proposed project, along with the estimated budget, and
alignment with strategies established by the business.
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For smaller projects, a formal business case may not be warranted, although it would be
prudent to at least provide a rationale for proceeding with a change, and hence the
investment of funds.
4.6.3
Input
The information gathered from the preceding enterprise analysis activities serves as
critical input to business case development, including:
Business Need
•
Updates to current state enterprise architecture (if needed)
•
Results of competitive analysis and benchmark studies
•
Target state architecture
•
Gap in capabilities to achieve target state
•
Recommended Solution Approach / Feasibility Study
•
Solution Scope
Elements
AF
T
4.6.4
•
To develop the Business Case, the following activities are involved:
.1 Identify and Quantify the Benefits
DR
.2 Identify and Quantify the Costs
.3 Conduct the Initial Risk Assessment
.4 Determine the Measurement Process for the Costs and Benefits
.5 Compile Results and Present to the Project Sponsor
.1
Identify and Quantify the Benefits
Measure the benefits of the recommended solution in terms of both qualitative and
quantitative gains to the enterprise. Where possible, benefits should be quantified;
however, benefits of a non-financial nature are also important and should be included.
Ideally, benefit estimates should relate back to strategic goals and elements of the
enterprise performance scorecard, if one exists.
.2
Identify and Quantify the Costs
Estimate the total net cost of the solution. This requires estimates to be made of capital
expenditures for the new investment, costs of developing and implementing the change,
opportunity costs of not investing in other options, costs related to changing the work and
practices of the organization, total cost of ownership to support the new solution and
consequential costs borne by others.
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114
Conduct the Initial Risk Assessment to Identify Risks to the Solution
The purpose of the initial risk assessment is to determine if the proposed initiative carries
more risk than the organization is willing to bear. Project risk is an uncertain event or
condition that, if it occurs, has a positive or negative effect on at least one project objective,
such as time, cost, scope, or quality.6 Project risk management includes the processes
concerned with conducting risk management planning, identification, analysis, responses,
and monitoring and control on a project.
This initial risk assessment focuses mainly on solution feasibility risks, and is revisited
throughout the project. Since this is a project management practice, the business analysis
professional typically enlists the leadership of a senior project manager to help perform
this early solution risk assessment. While risk assessment is a project management
competency, the business analysis professional clearly has areas of influence and hence
accountability to ensure that the appropriate solution risks are assess correctly, both
initially and ongoing throughout the project.
.4
Determine the Measurement Process for the Projected Costs and Benefits
AF
T
Underlying many of the problems associated with both the development and the
realization of business case projections is an immature measurement culture within the
organizations today. The business case should articulate not just the costs and benefits
that are projected to be realized, but how those costs and benefits will be assessed and
evaluated. The business case also includes a plan for benefit management, measurement
and reporting, including where realignment of internal measures or systems is needed to
ensure that the behaviors we are seeking can be seen, evaluated, and realized.
DR
As more sophisticated measurement systems are created, management defines
assumptions regarding how benefits will be apportioned, particularly in situations
(increased revenue being the most common) where a change in what is being measured
cannot always be fully attributed to one solution alone. The resulting measurement
approach is accepted as part of the business case approval along with the actual cost and
benefit projections.
.5
Compile Results and Present to the Project Sponsor
Compile all of the information gathered during enterprise analysis activities included or
referenced in the business case. In addition, the business case identifies and justifies the
next steps in the overall process to continue with the proposed new project opportunity,
including approval of funding for the implementation project and appointing a project
manager, business analysis professional and core project team to proceed with project
initiation, planning and requirements development.
4.6.5
Techniques
Many techniques are used to develop a business case, including both qualitative business
benefit analysis and quantitative financial profit/profitability models. Several of these
techniques are described below.
6
Project Management Institute. A Guide to the Project Management Body of Knowledge, Third Edition (PMBOK® Guide).Newtown Square,
Pennsylvania: Project Management Institute. 2004
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•
Cost-benefit analysis to compare the costs of implementing a solution against the
benefits gained from it
•
Economic models and financial analysis, which include the use of financial models
that estimate the market value of an organizational asset
•
Estimating techniques to forecast the size of the investment to deploy and operate
the proposed solution
•
Strengths, weaknesses, opportunities and threats (SWOT) analysis to demonstrate
how the solution will help the organization maximize strengths and minimize
weaknesses
Stakeholders
Key stakeholders who are involved in or impacted by the business case include:
•
The project investment governance group for a decision to further invest in the
project
•
Business process owner(s) and business process subject matter experts for the
business area to be changed. The business process experts likely assist in
estimating business benefits expected from the new initiative
•
IT manager who is supporting the business area. The IT representative likely
established cost projections for the technology needed to support the new solution
•
Senior project managers (PM). The PM assists the business analysis professional in
establishing initial cost and time estimates
•
The project investment governance group. This committee comprised of senior
executives reviews the business case information and determine whether to invest
in the proposed new initiative
AF
T
Executive who is the sponsor of the enterprise analysis activities
DR
4.6.7
•
Output
The deliverable from this effort is the business case document.
The business case will incorporate a summary of the findings of the analysis and reference
other documents, models and charts that have been produced to date relevant to the
opportunity. Organizational standards typically dictate the contents and format of the
business case document. Ultimately, the business case presents the information necessary
to support a go/no go decision to invest and move forward with a proposed project. A
typical business case is comprised of the following information, all of which is collected
during enterprise analysis activities:
1. Executive Summary
2. Introduction and Summary
a. Project Rationale For Preferred Option
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b. Current Business Process
c.
Description Of The Problem
d. Opportunity
e.
Project Objectives
f.
Scope
g. Business Benefits
h. Costs
i.
Assumptions and Constraints
j.
Potential Business And Staff Impact Analysis
l.
AF
T
k. Potential Technology Impact Analysis
Other Issues
m. Implementation Plan
3. Approach
a. Solution Implementation Plan
DR
b. Financial Metrics
c.
Privacy Impact Assessment
d. Alternative Evaluation Criterion
4. Key Selection Criterion
a. Weighting
b. Constraints And Limitations
5. Solution Options and Preferred Alternative
a. Description of Each Option Considered
b. Business Benefits
c.
Alternative Costs
d. Assumptions
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6. Initial Solution Risk Assessment
a. Risk Assessment
b. Risk Response
c.
Conclusions and Recommendations
4.7
Technique: Competitive Analysis and Benchmark Studies
4.7.1
Purpose
Competitive analysis and benchmark studies are performed to compare the strengths and
weaknesses of an organization against its competitors.
4.7.2
Description
AF
T
Competitive analysis is defined as a structured process which captures the key
characteristics of an industry to predict the long-term profitability prospects and to
determine the practices of the most significant competitors. Sources of competitive
information include groups such as the SEC (Security Exchange Commission), companies
themselves, articles in the press or trade journals, analysts in the market, credit reports,
clients and vendors, trade associations, and the government.
4.7.3
DR
Benchmark studies are conducted to compare organizational practices against the best-inclass practices that exist within competitor enterprises in government or industry. The
objective of benchmark studies is to determine how companies achieve their superior
performance levels and use that information to design projects to improve operations of
the enterprise. Benchmarking is usually focused on strategies, operations and processes.
Elements
Elements of a competitive analysis typically include:
•
Identify current and potential competition
•
Examine your competitors’ strengths, weaknesses, threats and opportunities (see
SWOT analysis technique)
•
Identify the reasons for success and difficulty experienced by competitors in your
domain
•
Determine prime customer motivators and most substantial costs
•
Determine which functions or processes that may need to be benchmarked – those
that are most critical to achieving strategic goals
•
Determine key performance measures to be collected and analysed
•
Select the leading organizations to be used as a basis of comparison
•
Compare the performance of the leading competitors to the performance of your
organization
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Identify changes required to meet or exceed the performance of the competition
Elements of benchmarking typically involve:
4.7.4
•
Identifying area to be studied
•
Identify organizations that are leaders in the sector
•
Conduct a survey of companies to understand their practices
•
Arrange for visits to best-in-class companies
•
Develop a project proposal to implement the best practices
Usage Considerations
.1
Advantages
.2
AF
T
Benchmarking and competitive analysis are powerful management tools to provide
organizations with information about new and different methods, ideas, and tools to
improve organizational performance.
Disadvantages
Benchmarking and competitive analysis is time consuming and organizations may not
have the expertise to conduct the analysis and acquire useful competitive information.
Technique: Decision Analysis
4.8.1
Purpose
DR
4.8
The purpose of decision analysis is to use a structured process to determine the most
valuable option from among a number of opportunities.
4.8.2
Description
Decision analysis is an approach to decision making used under uncertain conditions that
examines and models each alternative decision path. This technique is useful when there
are a limited number of alternatives to achieve a single goal. For each decision alternative,
the probability of success, cost and rewards are estimated to forecast the value of each
option to the organization.
4.8.3
Elements
Elements of decision analysis include:
•
Prepare a graphical representation of all possible decision paths
•
Forecast probability of success, costs and rewards to the organization for each
path
•
Using economic forecasting, determine the expected monetary value of each
alternative
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Usage Considerations
.1
Advantages
Decision analysis provides an effective technique to determine the expected value of an
alternative scenario to the organization
.2
Disadvantages
Decision analysis is difficult and requires specialized knowledge and skills
4.9
Technique: Decomposition
4.9.1
Purpose
To decompose the deliverables that are required to define requirements, design, acquire
and/or build, and deploy the new business solution.
4.9.2
Description
4.9.3
Elements
AF
T
Decomposition is planning technique that subdivides the scope and deliverables into
smaller, more manageable components and depicts them graphically in a work breakdown
structure (WBS). Deliverables are decomposed until the work associated with providing
the new solution is defined in sufficient detail to support executing, monitoring, and
controlling the work.
This technique usually involves a team of experts led by a facilitator. Steps usually include:
Review strategic vision, goals, objectives, measures, business requirements and
recommended solution
•
Develop a deliverable-oriented hierarchical representation of the work that needs
to be completed to accomplish the goals and objectives and deploy the new
business solution, referred to as a work breakdown structure (WBS)
•
Continue to progressively elaborate the decomposition diagram until the lowest
level deliverable can be assigned to resources, scheduled and budgeted
DR
•
4.9.4
Usage Considerations
.1
Advantages
•
Subdivides deliverables into smaller, manageable components that allow for topdown time and cost estimates
•
Creates a conceptual model of the work that needs to be completed to deliver the
new business solution
•
Provides all stakeholders with a consistent view of the scope of the effort
.2
Disadvantages
•
Can be difficult to accomplish without a WBS from a previous project
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4.10
Technique: Economic Models and Benefit Analysis
4.10.1
Purpose
Economic models are designed to help determine the economic feasibility of a proposed
new project. Other terms for approaches used in a business case to justify a new business
solution include; Return on investment, financial justification and cost of ownership
analysis.
4.10.2
Description
Many techniques are used to develop a business case for proposed new business solution,
including both qualitative business benefit analysis and quantitative financial
profit/profitability models. Financial models estimate the market value of an
organizational asset, e.g., estimating the value of a new business solution or acquisition.
Typical models used to determine the value of assets include relative value models,
absolute value models and option pricing models.
4.10.3
Elements
•
Discounted Cash Flow – future value on a specific data
•
Net Present Value – future view of costs and benefits converted to today’s value
•
Internal Rate of Return – the interest rate (or discount) when the net present value
is equal to zero
•
Average Rate of Return – estimate of rate of return on an investment
•
Pay Back Period – the amount of time it takes for an investment to pay for itself
•
Cost-Benefit Analysis – quantification of costs and benefits for a proposed new
solution
DR
4.10.4
AF
T
Commonly used financial valuation techniques include:
Usage Considerations
.1
Advantages
Using consistent financial justification techniques in all business cases for significant
investments to deploy proposed new solutions provides decision-makers with
quantitative measures upon which to make project investment decisions
.2
Disadvantages
The disadvantage of using financial valuation models is that the cost and benefits tend to
be considered to be fixed as opposed to a forecast that should be updated and reviewed at
key point in the project
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4.11
Technique: Enterprise Architecture
4.11.1
Purpose
The purpose of enterprise architecture development is to document the current and future
states of the enterprise to make the enterprise visible and easy to understand. The
enterprise architecture artifacts are then available to support and integrate business and
IT planning, estimating, what-if business scenarios, and feasibility analysis. The enterprise
architecture artifacts provide a business-driven context for project scoping and
prioritization.
4.11.2
Description
AF
T
To understand the internal environment, it is becoming a widespread practice to focus on
the development and maintenance of the business architecture. The business architecture
is a set of documentation that defines an organization’s current and future states. The
business architecture describes the businesses strategy, its long term goals and objectives,
the business environment through a process or functional view, and the external
environment in which the business operates. The business architecture also defines the
relevant stakeholders, such as the government, regulatory agencies, customers, suppliers,
and employees. The business architecture is considered a strategic asset used to
understand both the current state as well as plans for the future state of the enterprise, and
as such, provides a unified structure and context that helps guide selection and
management of programs and projects.
DR
The physical elements of the business architecture may consist of an interrelated set of
documents, models, and diagrams, organized to present information about the business in
terms of business vision, mission, strategy, functions, rules, policies, procedures, functions,
processes, organizations, competencies and locations, that together comprise the business
as a system for delivery of value. Through the creation of the current and future state
business architecture, a common understanding of changes that the business must make
to achieve its goals comes into view.
Using the business architecture as a guide when we change the business helps to ensure
that business operations and their supporting IT systems are aligned. Through
architectural work, we capture and portray the business and then the technical
information needed in a way that makes the two sets of information easy to interrelate,
thus driving consistency between business operations and IT services. Therefore, the
business architecture becomes one element within the larger view, the enterprise
architecture.
Enterprise architecture is a comprehensive framework used to manage and align an
organization's business processes, IT software and hardware, local and wide area networks,
people, operations and projects with the organization's overall strategy. An effective
enterprise architecture process helps to understand the organization's business processes
and how technology is supporting those processes. While several frameworks exist, the
enterprise architecture typically consists of five architectures which in total comprise the
enterprise architecture:
•
Business Architecture
•
Information Architecture
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•
Application Architecture
•
Technology Architecture
•
Security Architecture
Elements
Elements of the enterprise architecture include both business and technical components
as listed below.
.1
Business architecture
Business vision, goals, objectives, measures, functions, workflow, process models – the
business as an enterprise that flows value from the organization to the customer
Business unit organization charts – the organizational entities that operate the business
processes, including the management teams, staff positions, roles, competencies,
knowledge and skills
.2
AF
T
Geographical maps of business locations – the location of the business units and other
organizational entities, e.g., call centers, distribution centers, etc.
Technical architecture
Information and data models – the data and information that is the “currency” of the
organization, flowing through the processes to accomplish the business functions
DR
Software applications and tools models – the information technology (IT) applications that
enable the business processes to operate efficiently and provide decision-support
information to the management team
Hardware configuration models – the enabling technology that supports the operation of
the processes and applications
4.11.4
Usage Considerations
.1
Advantages
The key advantage of enterprise architecture views is that they provide all stakeholders
with a common understanding of the enterprise and the complexity of business processes
and operations.
.2
Disadvantages
The disadvantages of enterprise architecture development are that it is a costly and time
consuming endeavor that requires specialized knowledge and skills to develop and
maintain.
4.12
Technique: Estimating Techniques
4.12.1
Purpose
Estimating techniques are designed to forecast the cost of a proposed new business
solution.
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Description
Estimating is the process of estimating the costs of a project, including the anticipated cost
of labor, and materials. Cost estimates used by organizations range from formal, rigorous
methods to quick and intuitive.
4.12.3
Elements
Typical cost estimating techniques include:
Top-down estimates – calculated using broad, high-level deliverables list; involves
generating estimates for large units of work
•
Bottom-up estimates – calculated using complete, detailed work breakdown
structure; involves generating estimates for small units of work
•
Function point estimates – estimates logical business views of components of the
solution, e.g., for each function: inputs, outputs, tables, queries, and interfaces
•
Work distribution estimates – estimates effort by major project phase
•
Comparison estimates – comparing effort with completed similar project(s) and
adjusting for dissimilarities
AF
T
4.12.4
•
Usage Considerations
.1
Advantages
Estimates are essential to preparing the business case.
Disadvantages
DR
.2
Estimates at early stages of the project tend to be highly inaccurate.
4.13
4.13.1
Technique: Feasibility Analysis
Purpose
The purpose of feasibility analysis is to use a structured process to determine the most
viable business solution to solve a business problem or seize a new business opportunity.
4.13.2
Description
Feasibility analysis is essentially research efforts designed to help organizations
understand the competitive environment, enabling them to make informed decisions for
investments in the future of their business. Formal feasibility studies use reliable data and
apply proven methods of statistics and market research to ensure complete and accurate
information is produced.
A feasibility study is conducted to determine the viability of an idea for a new business
opportunity by identifying and analyzing potential solution options. Depending on the size,
complexity and criticality of the study, it may be consider its own stand-alone project or
pre-project phase. Feasibility studies are most often used during pre-project enterprise
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analysis activities; however, they can be used to provide information in other situations as
listed below.
•
When executives are developing strategic goals and objectives to drive toward
strategy execution
•
During the requirements analysis and solution design activities to help conduct
trade-off analysis among solution alternatives
The feasibility analysis is an integral part of formulating a major business transformation
project, e.g., reengineering a core business process and supporting technology, establishing
a new line of business, increasing market share through acquisition, or developing a new
product or service. Abbreviated studies may also be conducted for change initiatives
requiring lower investments. Although feasibility studies may be conducted prior to,
during or after the completion of a business case, it is usually undertaken as part of the
overall analysis process to create the business case.
4.13.4
Elements
Decision analysis, a structured way of determining a decision to take action and
how it would lead to a business result
•
Prototyping to mitigate highest risk areas, understand the complexity and seek
buy-in.
•
Market surveys to ensure there is a demand for the solution and it will be
economically feasible
•
Technology capability assessments for new unproven technologies
AF
T
•
DR
4.13.3
•
Business and IT staff interviews to determine operational feasibility
•
Environmental impact analysis to determine environmental feasibility
•
Early cost versus benefit analysis to determine economic viability
Usage Considerations
.1
Advantages
Feasibility and decision analysis provide effective techniques to ensure sufficient analysis
has taken place prior to proposing investment in a major new business solution
.2
Disadvantages
Feasibility and decision analysis activities are time consuming and require specialized
knowledge and skills. Many organizations do not have budget mechanisms in place to
fund extensive feasibility studies.
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4.14
Technique: Gap Analysis
4.14.1
Purpose
A technique for identifying the changes needed to the enterprise in order to achieve a
strategic goal.
4.14.2
Description
A formal study of the current state of the business, its vision for the future, and the changes
required to meet the business need and achieve strategic goals. Changes could be required
to any component of the business.
4.14.3
Elements
Elements include:
Assessment of existing business architecture information describing the business,
e.g., goals, objectives, functions, business units, processes, technology and
applications
•
Comparing the current and target business architectures to identify the changes
that will be needed
•
Identifying and documenting the gaps in capabilities from a number of aspects,
e.g., process steps, new data, new rules or functionality
AF
T
4.14.4
•
Usage Considerations
Advantages
DR
.1
Gap analysis is a valuable technique to use to fully understand the changes required to
implement a target vision and strategy
.2
Disadvantages
Without a complete and up-to-date enterprise architecture, it is difficult to ensure a
complete understanding of the complete scope of changes needed to implement a target
vision and strategy
4.15
Technique: Goal Analysis
4.15.1
Purpose
The purpose of goal analysis is to decompose strategic goals into achievable objectives and
measures of success.
4.15.2
Description
Strategic goals are analysed and converted into more descriptive strategic themes and
strategic objectives, and linked to enterprise performance measures.
4.15.3
Elements
Goal analysis can be accomplished using a number of different approaches as listed below:
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Decomposing strategic goals into SMART objectives, where:
•
Specific – describing something that has an observable outcome
•
Measurable – tracking and measuring the outcome
•
Achievable – testing the feasibility of the effort
•
Relevant – in alignment with the organization’s key vision, mission, goals
•
Timely – timeframe that is aligned with the business need
Strategic themes break down the general strategy into distinct focus areas that may lead to
desired results, such as increased customer satisfaction, operational excellence, business
growth, etc. Usually described in brief statements, (e.g., a strategic goal may be to increase
high-revenue customers; whereas, a strategic theme may then be extrapolated into this:
“increase high-revenue customers through mergers and acquisitions”).
AF
T
Strategy maps, a diagram depicting how an organization creates value by linking strategic
objectives to four perspectives: financial, customer, internal, learning and growth.7
Corporate scorecards describe and track enterprise performance measures or metrics that
are designed to gauge performance toward achievement of strategic goals.
4.15.4
Usage Considerations
.1
Advantages
DR
Goal analysis and decomposition provides lower level objectives, themes and measures to
help guide the enterprise analysis tasks
.2
Disadvantages
Many organizations have not developed the knowledge, skills and competencies to conduct
comprehensive goal analysis
4.16
4.16.1
Technique: Opportunity Analysis
Purpose
To identify new business opportunities that are designed to improve organizational
performance and achieve strategic goals.
4.16.2
Description
The process of examining new business opportunities to improve organizational
performance, e.g., increasing revenue, eliminating waste from business processes, pursuing
new market ventures or other desirable objectives.
7
Kaplan, Robert S. and Norton, David P. The Strategy-Focused Organization, Harvard Business School Publishing Corporation, 2001
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Elements
This technique usually involves a team of experts led by a facilitator. Steps include:
Review strategic vision, goals, objectives and measures
•
Conduct a brainstorming idea generating session to determine all possible
approaches to achieve the strategic goal under review
•
Examine the feasibility of each approach to achieving the goal
•
Based on the results of the feasibility analysis, select the most viable opportunity
path
Usage Considerations
.1
Advantages
•
Ensures all possible approaches to achieving a goal are examined
•
Depending on the expertise of the participants, many perspectives are considered
.2
AF
T
4.16.4
•
Disadvantages
•
Time consuming
•
Difficult to get all perspectives represented
Technique: Problem Analysis
4.17.1
Purpose
DR
4.17
The purpose of problem analysis is to determine the underlying source of a business
problem.
4.17.2
Description
Problem analysis is a structured examination of the aspects of a situation to establish the
root causes and resulting effects of the problem. Problem analysis is used extensively in
the quality assurance, process improvement and six sigma disciplines. A critical element of
problem analysis is to ensure that the current business thinking and processes are
challenged, i.e., do they still make sense or provide good business value?
4.17.3
Elements
Typical elements of problem analysis include:
•
Defining the problem
•
Gathering as much information about the problem as possible
•
Identifying elements that contribute to the problem
•
Determining root causes
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•
Developing solution recommendations
•
Implementing solution recommendations
•
Observing the recommended solutions to ensure effectiveness
Two commonly used problem analysis methods include The Fishbone Diagram and The
Five Whys:
.1
The Fishbone Diagram
The fishbone diagram approach uses a structured process to identify a problem, gather
information, identify and chart root causes, generate recommendations, and develop an
action plan to take corrective action.
AF
T
When utilizing a team approach to problem solving, it is helpful to capture the team’s
brainstorming on root causes visually. A cause-and-effect diagram is used to identify and
organize the possible causes of a problem. This tool helps the group to focus on the cause
of the problem versus the solution. The technique organizes ideas for further analysis. The
diagram serves as a map depicting possible cause-and-effect relationships; refer to Figure
4-4 for an example of a cause and effect diagram. Steps to develop a cause-and-effect
diagram include:
1. Capture the issue or problem under discussion in a box at the top of the diagram
2. Draw a line from the box across the paper or white board (forming the spine of the
fishbone)
DR
3. Draw diagonal lines from the spine to represent categories of potential causes of
the problem. The categories may include people, process, tools, and policies
4. Draw smaller lines to represent deeper causes
5. Brainstorm categories and potential causes of the problem and capture them
under the appropriate category
6. Analyze the results. Remember that the group has identified only potential causes
of the problem. Further analysis is needed to validate the actual cause, ideally with
data
7. Brainstorm potential solutions once the actual cause has been identified
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Five Whys
DR
The 5 Whys is a question-asking process to explore the nature and cause of a problem. The
5-Whys approach repeatedly asks questions in an attempt to get to the root cause of the
problem. This is one of the simplest facilitation tools to use when problems have a human
interaction component. To use this technique:
1. Write the problem on a flip chart of white board.
2. Ask: “Why do you think this problem occurs?” and capture the idea below the
problem
3. Ask: “Why?” again and capture that idea below the first idea
4. Continue with step 3 until you are convinced the actual root cause has been
identified. This may take more or less than five questions
The 5 Whys can be used alone, or as part of the fishbone diagram technique. Once all ideas
are captured in the diagram, use the 5 Whys approach to drill down to the root causes.
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Problem Statement
The problem of
Describe the problem.
Affects
The stakeholders affected by the problem.
The impact of which is
What is the impact of the problem – on each stakeholder.
A successful solution
would
List some key benefits of a successful solution.
Usage Considerations
.1
Advantages
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Problem analysis provides a structured method to identify the root causes of identified
problems, thus ensuring a complete understanding of the problem under review
.2
Disadvantages
Problem analysis works best when a team of experts is facilitated by a professional
4.18.1
Technique: SWOT Analysis
DR
4.18
Purpose
A SWOT analysis is a valuable tool to quickly analyze various aspects of the current state of
the business process undergoing change.
4.18.2
Description
SWOT is an acronym for Strengths, Weaknesses, Opportunities, and Threats. SWOT
analysis is a good framework for strategic planning, opportunity analysis, competitive
analysis, business and product development.
4.18.3
Elements
The steps to conduct a SWOT analysis are as follows:
1. Draw a grid similar to the one in Figure X-X
2. Describe the issue or problem under discussion at the top of the grid
3. Conduct a brainstorming session (described in detail later in this chapter) to
complete each section in the grid
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4. Facilitate a discussion to analyze the results. Remember that the group has
identified only potential characteristics of the problem. Further analysis is needed
to validate the actual characteristics, ideally confirmed with data
5. Once the characteristics of the issue or problem have been validated, the group
brainstorms potential solutions to solve the problem.
Problem Statement
Strengths
Weaknesses
Threats
AF
T
Opportunities
Figure X-X: SWOT Chart
4.18.4
Usage Considerations
.1
Advantages
DR
The SWOT analysis helps quickly analyze various aspects of the current state of the
business process undergoing change prior to identifying potential solution options
.2
Disadvantages
The SWOT analysis is a very high-level view; more detailed analysis is almost always
needed.
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Chapter 5: Elicitation
5.1
Introduction
5.1.1
Knowledge Area Definition and Scope
Eliciting requirements is a key task in business analysis. Because the requirements serve
as the foundation for the solution to the business needs it is essential that the
requirements be complete, clear, correct, and consistent. Leveraging proven means to
elicit requirements will help meet these quality goals.
The word elicit is defined8:
1. to draw forth or bring out (something latent or potential)
2. to call forth or draw out (as information or a response)
AF
T
These definitions highlight the need to actively engage the stakeholders in defining
requirements.
This chapter includes details for eliciting requirements for a target system. The system
in question may be a business system, an automated system, or both. The scope may be
a new system, an enhancement to an existing system, or the procurement of a package.
DR
The business analyst professional should understand the commonly used techniques to
elicit requirements, should be able to select appropriate technique(s) for a given
situation, and be knowledgeable of the tasks to prepare, execute and complete each
technique.
Eliciting requirements is not an isolated, compartmentalized activity. Typically,
requirements are identified throughout the elicitation, analysis, and review activities.
For example: requirements may be elicited in interviews and/or facilitated meetings.
Later, when those requirements are used to build and verify model(s) gaps in the
requirements may be discovered. This will then require eliciting details of those newly
identified requirements, using techniques outlined in this chapter.
5.1.2
Input
The Business Analysis Planning and Monitoring KA activities identify and describe:
8
•
Stakeholder list
•
Stakeholder roles and responsibilities designation
•
Business Analysis Plans for Elicitation
Merriam Webster
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Requirements Management Plan.
Input to eliciting Enterprise Analysis requirements: A variety of means may be used to
elicit business requirements and are dependent on the type of study, e.g. creating a
Business Architecture, identifying Business Opportunity.
Input to eliciting user requirements: In the situation where Enterprise Analysis has been
completed and the project is ready to elicit user requirements the Enterprise Analysis
output is used to help determine the boundaries for the Elicitation activities. Enterprise
Analysis information may include:
5.1.3
o
Defined Business Problem/Opportunity and business objectives
o
Solution Scope and
o
Business Case
Tasks
•
Prepare for elicitation
•
Conduct elicitation activity
•
Document the results of elicitation activity
•
Confirm elicitation results
DR
5.1.4
AF
T
The tasks defined as part of the Elicitation KA include:
Elicitation Techniques
The business analyst professional is responsible for coordinating the activities and
employing the appropriate techniques used to elicit requirements.
To fully examine and define the requirements a combination of complementary
elicitation techniques is typically used. The Requirements Planning and Management
KA activities include evaluating and selecting the appropriate elicitation techniques. A
number of factors (the business domain, the corporate culture and environment, the
skills of the analyst and the requirements deliverables that will be created) guide which
techniques will be used.
The following elicitation approaches are defined in this chapter:
Elicitation Technique
Brainstorming
Synonym(s)
Document Analysis
Focus Group
Review existing documentation
Interface Identification
Interview
Observation
External Interface Analysis
Prototyping
Storyboarding, Navigation Flow
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Elicitation Technique
Requirements Workshop
Synonym(s)
Elicitation Workshop
Facilitated Workshop
Joint Application Design (JAD)
Reverse Engineering
Survey
Questionnaire
Table 4-1 Commonly used Elicitation Techniques
5.1.5
Output
The Elicitation KA’s deliverables depend on the elicitation techniques used, e.g.,
Interview notes, Survey responses Additional output may be glossary entries. Scheduled
resources
Supporting materials
•
Elicitation activity results
•
Assumptions, constraints, risks, issues
•
Documentation based on technique
•
Stated requirements
•
Validated, stated requirements
AF
T
•
DR
It is expected that at some point during elicitation sufficient material has been elicited
from the business experts to enable analysis and documentation to begin. The
combined results of all the elicitation techniques used will serve as input to building the
selected analytical models. Missing, incomplete or incorrect requirements will ideally
be exposed during the analysis activities thus requiring additional elicitation.
A number of techniques listed in this chapter are difficult to separate from the analysis
tasks defined in the Requirements Analysis KA. For example, Requirements Workshops
(which are described later in this chapter) start by eliciting requirements and often end
with the creation of models such as activity diagrams, prototypes, or even data models.
Such tightly coupled techniques are cross referenced in both Chapter 4 and Chapter 5.
5.2
Task: Prepare for Elicitation
5.2.1
Purpose
The purpose is to ensure all needed resources are organized and scheduled for
conducting the elicitation activities.
5.2.2
Description
The business analyst professional builds a detailed schedule for the elicitation
technique defining the specific activities and the planned dates.
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Input
The minimum requisite needed to frame and prepare for the elicitation activities are a
definition of the solution’s scope, identification of the participating stakeholders and
the selected elicitation technique(s). See 4.1.2 for details on input to this task.
Stakeholder list
•
Stakeholder roles and responsibilities designation
•
Business Analysis Plans for Elicitation
•
Defined Business Problem/Opportunity
•
Solution Scope and
•
Business Case
Elements
AF
T
5.2.4
•
•
Clarify the specific scope for the selected elicitation technique and gathers any
necessary supporting materials.
•
Schedule all resources (people, facilities, equipment).
•
Notify appropriate parties of the plan.
DR
For event-based elicitation (brainstorming, focus group, interview, observation,
prototyping, requirements workshop) ground rules must be established. Agreement is
reached with the stakeholders as to the form and frequency of feedback during the
elicitation process as well as the mechanism for verifying and signing off on the elicited
results.
Refer to Elicitation Menu of Techniques for unique aspects of preparing for a particular
technique.
5.2.5
5.2.6
Stakeholders
•
Project Manager
•
Business Analyst
•
Business and technical representatives
Output
•
Scheduled resources
•
Supporting materials
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5.3
Task: Conduct Elicitation Activity
5.3.1
Purpose
Meet with stakeholder(s) to elicit information regarding their needs.
5.3.2
Description
The elicitation event takes place (brainstorming, focus group, interview, observation,
prototyping, requirements workshop), or elicitation is performed (document analysis,
interface identification, reverse engineering) or distributed (survey).
5.3.4
Input
•
Supporting materials
•
Organizational standards
•
Requirements Management Plan
•
Defined Business Problem/Opportunity
•
Solution Scope
•
Business Case
AF
T
5.3.3
Elements
DR
Tracing requirements: While eliciting the requirements it is important to guard against
“scope creep”. Tracing requirements back to the business goals/objectives helps to
validate whether a requirement should be included.
Capturing requirement attributes: While eliciting the requirements documenting
requirements attributes such as the requirement’s source, value and priority will aid in
managing each requirement throughout its life cycle.
Use of glossary: A business glossary is an essential asset for all elicitation techniques.
The glossary should contain key domain terms along with their business definitions.
Metrics: Tracking the elicitation participants and the actual time spent eliciting the
requirements provides a basis for future planning.
For event-based elicitation techniques, eliciting requirements is highly dependent on
the knowledge of the stakeholders, their willingness to participate in defining
requirements, and the group’s ability to reach consensus. It is important that all defined
stakeholders are ‘heard’ during elicitation of requirements. It may be necessary to
further clarify and possibly restate the requirements to encompass all stakeholders’
perspectives.
Refer to each elicitation technique for unique elements of conducting that particular
technique.
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Stakeholders
•
Participants
•
Business Analyst
•
Project Manager
•
Technical representatives
Output
Output specific to the elicitation technique(s) such as:
Elicitation activity results
•
Assumptions, constraints, risks, issues
•
Documentation based on technique (e.g. interview notes, workshop results,
survey responses, etc.)
AF
T
•
5.4
Task: Document Results of Elicitation Activity
5.4.1
Purpose
Record the information provided by stakeholders for use in analysis.
5.4.2
Description
DR
For an elicitation event (brainstorming, focus group, interview, observation,
prototyping, requirements workshop) a summary of the output from the event,
including issues is produced. For elicitation done via document analysis, interface
identification, or reverse engineering a report of the findings is produced. The results of
a survey are collated and summarized. For the techniques of Prototyping and
Requirements Workshops, documenting the results may be done as part of the
Requirements Analysis work.
5.4.3
Input
•
5.4.4
Elicitation activity results
Elements
Refer to Elicitation Menu of Techniques for unique aspects of documenting the results
of a particular technique.
5.4.5
Stakeholders
Business Analyst
5.4.6
Output
•
Stated requirements
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5.5
Task: Confirm Elicitation Results
5.5.1
Purpose
Validate that the stated requirements expressed by the stakeholder’s match the
stakeholder’s understanding and needs.
5.5.2
Description
This task is used for the Interview and Observation techniques to ensure the session
notes are adequately documented.
5.5.3
Input
•
5.5.4
Stated requirements
Elements
5.5.6
Stakeholders
•
Business Analyst
•
Interviewee
•
Observed person
Output
DR
5.5.5
•
5.6
5.6.1
AF
T
Refer to Elicitation Menu of Techniques for unique aspects of confirming the results of
the Interview and Observation techniques.
Validated stated requirements
Technique: Brainstorming
Purpose
Brainstorming is an excellent way of eliciting many creative ideas for an area of interest.
Structured brainstorming produces numerous creative ideas about any given "central
question" or topic.
5.6.2
Description
In 1939, a team led by advertising executive Alex Osborn coined the term "brainstorm."
According to Osborn, “Brainstorm means using the brain to storm a creative problem
and to do so "in commando fashion, each stormer audaciously attacking the same
objective."
Brainstorming is a technique that promotes diversion type of thinking. Diversion refers
to those team activities that produce a broad or diverse set of options. Brainstorms
help answer specific questions such as (but not limited to):
•
What options are available to resolve the issue at hand?
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•
What factors are constraining the group from moving ahead with an approach
or option?
•
What could be causing a delay in activity ‘A’?
•
What can the group do to solve problem ‘B’?
Brainstorming works by focusing on a topic or problem, and then coming up with many
possible solutions to it. This technique is best applied in a group as it draws on the
experience and creativity of all members of the group. In the absence of a group, one
could brainstorm on one’s own to spark new ideas.
Elements
.1
Prepare for Brainstorming:
•
Develop a clear and concise definition of the area of interest.
•
Determine a time limit for the group to generate ideas, the larger the group, the
more time required.
•
Decide who will be included in the session and their role – participant or
facilitator. Aim for participants (ideally 6 to 8) who represent a range of
background and experience with the topic.
•
Set expectations with participants and get their buy-in to the process.
•
Establish criteria for evaluating and rating the ideas.
DR
AF
T
5.6.3
.2
Conduct Brainstorming session:
•
Share new ideas without any discussion, criticism or evaluation.
•
Visibly record all ideas.
•
Encourage participants to be creative, share exaggerated ideas, and build on the
ideas of others.
•
Don’t limit the number of ideas as the goal is to elicit as many ideas as possible
within the time period.
.3
Wrap-up the brainstorming:
•
Once the time limit is reached, using the pre-determined evaluation criteria,
discuss and evaluate the ideas.
•
Create a condensed list of ideas, combine ideas where appropriate, and
eliminate duplicates.
•
Rate the ideas. There are many techniques that can be used to prioritize the
ideas, e.g. multivoting.
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Distribute the final list of ideas to appropriate parties.
Usage Considerations
.1
Advantages:
•
Able to elicit many ideas in a short time period.
•
Non-judgmental environment enables outside-the-box thinking.
.2
Disadvantages:
•
Dependent on participants’ creativity.
5.7
Technique: Document Analysis
5.7.1
Purpose
AF
T
Document analysis is a means to elicit requirements of an existing system by studying
available documentation and identifying relevant information.
Document analysis is used if the objective is to gather details of the “As Is” environment
such as existing business rules, entities, and attributes that need to be included in a new
system or need to be updated for the current system. This technique would also apply in
situations where the subject matter experts for the existing systems are no longer with
the organization, or are not going to be available throughout the duration of the
elicitation process.
Description
DR
5.7.2
Elicitation typically includes analysis of documents such as business plans, market
studies, contracts, requests for proposals, statements of work, memos, existing
guidelines, procedures, training guides, competing products literature, published
comparative product reviews, problem reports, customer suggestion logs, and existing
system specifications to list a few. Identifying and consulting all likely sources of
requirements will result in improved requirements coverage assuming the
documentation is up to date.
5.7.3
Elements
.1
Prepare for Document Analysis:
•
.2
Evaluate which existing system and business documentation are relevant,
available and appropriate to be studied.
Analyze the documents:
•
Study the material and identify relevant business details.
•
Document business details as well as questions for follow-up with subject
matter experts.
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Post Document Analysis wrap-up:
•
Review and confirm the selected details with subject matter experts.
•
Organize information into requirements format.
•
Obtain answers to follow-up questions.
Usage Considerations
.1
Advantages:
•
Not starting from a blank page.
•
Leveraging existing materials to discover and/or confirm requirements.
•
A means to cross-check requirements from other elicitation techniques such as
interviews, job shadowing, surveys or focus groups.
Disadvantages:
.2
5.8.1
•
Limited to “as-is” perspective.
•
Existing documentation may not be up-to-date or valid.
•
Can be a time-consuming and even tedious process to locate the relevant
information.
Technique: Focus Group
DR
5.8
AF
T
5.7.4
141
Purpose
A focus group is a means to elicit ideas and attitudes about a specific product, service or
opportunity in an interactive group environment. The participants share their
impressions, preferences and needs, guided by a moderator.
5.8.2
Description
A focus group is composed of pre-qualified individuals whose purpose is to discuss and
comment on a topic. This is an opportunity for individuals to share their own
perspectives and discuss them in a group setting. This could lead participants to reevaluate their own perspectives in the light of others’ experiences. A trained moderator
manages the administrative pre-work, facilitates the session and produces the report.
As this elicitation technique is considered a form of qualitative research, the session
results are analyzed and reported as themes and perspectives, rather than numerical
findings. The report may also include selected quotations to support the themes.
A traditional focus group gathers in the same physical room. An online focus group
allows members to be located remotely while participating by a network connection.
Each approach has pros and cons in terms of logistics and expenses.
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A focus group can be utilized during any life-cycle state: exploratory, under
development, ready to launch, or in production. If the group’s topic is a product under
development, the group’s ideas are analyzed in relationship to the stated requirements.
This may result in updating existing requirements or uncovering new requirements. If
the topic is a completed product that is ready to be launched, the group’s report could
influence how to position the product in the market. If the topic is a product in
production, the group’s report may provide direction on the revisions to the next
release of requirements. A focus group may also serve as a means to assess customer
satisfaction with a product or service.
The work of a focus group may be similar to that done in a brainstorming session. One
difference is that a focus group is typically more structured. Another difference is a
brainstorming session’s goal is to actively seek broad, creative, even exaggerated ideas.
5.8.3
Elements
.1
Prepare for the Focus Group
AF
T
Recruit Participants
A focus group typically has 6-12 attendees. It may be necessary to invite twice as many
individuals in order to allow for no-shows. If many people need to participate, it may be
necessary to run more than one focus group.
DR
The topic of the focus group will influence who should be recruited. If the topic is a new
product, it is likely that existing users (experts and novices) should be included. There
are pros and cons that should be considered when using homogeneous vs.
heterogeneous composition.
•
Homogeneous – individuals with similar characteristics. Caution: Differing
perspectives will not be shared. Possible solution: conduct separate sessions for
different homogeneous groups.
•
Heterogeneous – individuals with diverse backgrounds, perspectives. Caution:
Individuals may self-censor if not comfortable with others’ background
resulting in lower quality of data collected.
Assign the moderator and recorder
The moderator should be experienced in facilitating groups. Typical skills include:
promote discussion; ask open questions; facilitate interactions between group
members; engage all members; keep session focused; remain neutral; be adaptable and
flexible.
Create discussion guide
The guide includes goals/objectives of the session and five to six open questions.
Reserve site and services
Select the location for the session. Arrange for technical support to transcribe the
session and, if used, audio/video taping equipment.
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Run the focus group session
The moderator guides the group’s discussion, follows a preplanned script of specific
issues and ensures the objectives are met. However, the group discussion should appear
free-flowing and relatively unstructured for the participants. A session is typically 1 to 2
hours in length. A recorder captures the group’s comments.
.3
Produce Report
The moderator objectively analyzes and documents the participants’ agreements and
disagreements and synthesizes them into themes.
Usage Considerations
.1
Advantages:
•
Ability to elicit data from a group of people in a single session saves time and
costs as compared to conducting individual interviews with the same number
of people.
•
Effective for learning people’s attitudes, experiences and desires.
•
Active discussion and the ability to ask others questions creates an
environment where participants can consider their personal view in relation to
other perspectives.
.2
AF
T
5.8.4
Disadvantages:
In the group setting, participants may be concerned about issues of trust, or
may be unwilling to discuss sensitive or personal topics.
DR
•
•
Data collected (what people say) may not be consistent with how people
actually behave.
•
If the group is too homogenous the group’s responses may not represent the
complete set of requirements.
•
A skilled moderator is needed to manage the group interactions and
discussions.
•
It may be difficult to schedule the group for the same date and time.
•
If the goal of the focus group is to elicit ideas on a new or changing product, a
focus group is not an effective way to evaluate usability.
5.9
Technique: Interface Identification
5.9.1
Purpose
Identifying what interfaces are necessary to support a system sets the stage for eliciting
a wide variety of requirements. Early identification of interfaces uncovers and confirms
the interfacing stakeholders and provides a framework for subsequent analysis of the
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detailed requirements for each interface. Interface identification is certainly necessary
for a software solution but can also be useful for a non-software solution, e.g., defining a
document that shall be provided by an external party.
5.9.2
Description
An interface is a connection between two components. Most systems require one or
more interfaces. Interfaces types include:
•
User interfaces - includes human user directly engaged with the system as well
as reports provided to the user
•
Interfaces to and from external systems
•
Interfaces to and from external hardware devices
AF
T
The users, external systems and systems that own the devices are considered
stakeholders.
Interface identification helps to clarify the boundaries of the interfacing systems. It
distinguishes which system provides specific functionality along with the input and
output data needs. By clearly and carefully separating the requirements for each system
while jointly defining the shared interface requirements, a basis for successful
interoperability is established.
Elements
DR
5.9.3
.1
Prepare for Interface Identification:
Review current documentation for any indications of interface requirements. For
example, a Context Diagram provides an effective visualization of the interfaces to and
from external parties. See Chapter 2, Enterprise Analysis, for details on the technique
“Context/Business Domain Diagram”.
.2
Conduct Interface Identification:
For each stakeholder that interacts with the system, identify what interfaces are needed.
For each interface:
•
Describe the purpose of the interface.
•
Evaluate which type may be appropriate: user interface, system-to-system
interface, external hardware device interface.
•
Elicit high-level details about the interface, depending on its type:
o
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Prototyping.
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Usage Considerations
.1
Advantages:
•
Provides an early, high-level view of interoperability.
•
Results are valuable input for project planning::
.2
o
Impact on delivery date. Knowing what interfaces are needed, as well as
their anticipated complexity and testing needs enables more accurate
project planning and potential savings in time and cost.
o
Collaboration with other systems or projects. If the interface is to an
existing system, product or device and the interface already exists, it may
not be easily changed. If the interface is new, then the ownership,
development and testing of the interface needs to be addressed and
coordinated in both projects’ plan. In case, eliciting and analyzing the
interface requirements will require negotiation and cooperation between
the owning systems.
Disadvantages:
•
Does not provide an understanding of the business processes since this
technique only identifies the input and output interfaces at a high level.
Technique: Interview
DR
5.10
For a system-to-system interface or an interface with an external hardware
device, outline the content and name the related events.
AF
T
5.9.4
145
5.10.1
Purpose
An interview is a systematic approach to elicit information from a person or group of
people in an informal or formal setting by talking to the person - the interviewee, asking
relevant questions and documenting the responses. (This section considers the
business analysis professional in the role of interviewer.)
5.10.2
Description
In an interview, the interviewer formally or informally directs his/her questions to: a
stakeholder / a subject-matter-expert / a potential user / a member of the solution team
to obtain answers that finally take the shape of requirements. One-on-one interviews
are typically most common. In a group interview (more than one interviewee in
attendance) the interviewer must be careful to solicit responses from all attendees.
For the purpose of eliciting business requirements, interviews are of two basic types:
•
Structured interview, where the interviewer has a pre-defined set of questions and is
looking for answers.
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Unstructured interview, where, without any pre-defined questions, the interviewer
and the interviewee discuss in an open-ended way what the business expects from
the target system.
Successful interviewing depends on several factors such as, but not necessarily limited
to:
Level of understanding of the interviewer in that business domain.
•
Experience of the interviewer in conducting interviews.
•
Skill of the interviewer in documenting the discussions.
•
Readiness of interviewee to provide the relevant information.
•
Degree of clarity in interviewee’s mind about what the business wants/expects from
the target system.
•
Rapport of the interviewer with the interviewee.
AF
T
5.10.3
•
Elements
.1
Prepare for the interview
Define the interview’s focus or goal.
•
Identify potential interviewees. The stakeholders identified in the Requirements
Planning KA may be the primary interviewees and/or will designate appropriate
persons who should be interviewed. The sponsor considers the following
questions when identifying who should be interviewed:
DR
•
•
o
Who holds the most authentic and the most current information on the
subject of interest?
o
What is his/her stake in the project?
o
What is the relative importance of information held by one person vis-à-vis
that held by another person? This information is helpful when analyzing
conflicting comments across interviews.
Design the interview. The interviewer may need to custom-design the interview
for each identified interviewee. The interviewee’s ability to participate and the
desired outcome of an interview govern the design of an interview. In addition,
these factors are also considered:
o
The format for the interview, structured vs. unstructured
o
If a structured interview, the type of questions:
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Closed-ended questions: Questions that are used to elicit a single response
such as: yes, no, or a specific number. Example: How many hours does it
take for the claim process to be completed?
o
Open-ended questions: Questions that are used to elicit a dialog or series of
steps and cannot be answered in a yes or no fashion but need explaining.
Example: What does a claim processor do on receipt of a claim form?
o
Organization of the questions: use a logical order or an order of
priority/significance. Examples of order would be: general questions to
specific questions; start to finish; detail to summary, etc. The actual
organization is based on the interviewee’s knowledge, the subject of the
interview, etc. The goal is to follow a logical order rather than jump around
when asking questions.
o
Location of participants. An interview can be conducted in-person or
electronically.
o
The interview time and site are convenient to the interviewee.
AF
T
o
o
Determine if a scribe is needed and if so, include that person in the
scheduling process. Determine if the interview needs to be recorded. If so,
discuss the recording’s purpose and usage with the interviewee.
Contact potential interviewees. The interviewer contacts the selected
interviewees and explains to them why their assistance is needed. The purpose
is to explain the objective of the interview to the potential interviewee.
DR
•
147
.2
Conduct the interview:
•
Opening the interview. The interviewer gives an introduction, states the purpose
of the interview, addresses any concerns raised by the interviewee, and explains
that notes will be taken and shared with the interviewee after the interview.
•
During the interview:
•
o
The interviewer maintains focus on the established goals and pre-defined
questions.
o
All concerns raised by the interviewee are addressed during the interview or
documented for follow-up after the interview or in a subsequent interview.
o
The interviewer practices active listening to confirm what he/she
understood from the information offered at various times during the
interview.
Closing the interview. The interviewer asks the interviewee for areas which may
have been overlooked in the session. Lastly, the interviewer summarizes the
session, reminds the interviewee of the upcoming review process and thanks
the interviewee for his/her time.
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Post interview follow-up and confirmation:
After the interview is complete, the interviewer organizes the information elicited and
sends the notes to the interviewee for review. Documenting the discussion for review
allows the interviewee to see all of the information in context. This review may point
out items that are incorrect or missing because the interviewer (or scribe) missed
documenting them, or because the interviewer (or scribe) documented them
incorrectly, or because the interviewee missed discussing them. This review is not
intended to address whether or not the requirements are valid nor whether they will
ultimately be approved for inclusion into the deliverables but solely to determine if the
interview has been adequately documented.
Usage Considerations
.1
Advantages
•
Encourages participation and establishes rapport with the stakeholder.
•
Simple, direct technique that can be used in varying situations.
•
Allows the interviewer and participant to have full discussions and explanations
of the questions and answers.
•
Enables observations of non-verbal behavior.
•
The interviewer can ask follow-up and probing questions to confirm own
understanding.
•
Maintain focus through the use of clear objectives for the interview that are
agreed upon by all participants and can be met in the time allotted.
DR
AF
T
5.10.4
.2
Disadvantages
•
Interviews are not an ideal means of reaching consensus across a group of
stakeholders.
•
Requires considerable commitment and involvement of the participants.
•
Training is required to conduct good interviews. Unstructured interviews,
especially, require special skills such as facilitation/virtual facilitation and
active listening.
•
Depth of follow-on questions may be dependent on the interviewer’s knowledge
of business domain.
•
Transcription and analysis of interview data can be complex and expensive.
•
Resulting documentation is subject to interviewer’s interpretation.
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5.11
Technique: Observation
5.11.1
Purpose
Observation is a means to elicit requirements by conducting an assessment of the
subject matter expert’s work environment. This technique is appropriate when
documenting details about the current processes or if the project intends to enhance or
change a current process.
5.11.2
Description
Observation relies on studying people performing their jobs, and is sometimes called
"job shadowing” or “following people around." For instance, some people have their
work routine down to such a habit that they have difficulty explaining what they do or
why. The observer may need to watch them perform their work in order to understand
the flow of work. In certain projects, it is important to understand the current processes
to better assess the process modifications that may need to be made.
AF
T
There are two basic approaches for the observation technique:
Passive / invisible. In this approach, the observer observes the subject matter
expert working through the business routine but does not ask questions. The
observer writes notes about what he/she sees, but otherwise stays out of the
way, as if he/she was invisible. The observer waits until the entire process has
been completed before asking any questions. The observer should observe the
business process multiple times to ensure he/she understands how the process
works today and why it works the way it does.
•
Active / visible. In this approach, while the observer observes the current
process and takes notes he/she may dialog with the worker. When the observer
has questions as to why something is being done as it is, he/she asks the
questions right away, even if it breaks the routine of the person being observed.
In this approach, the observer might even participate in the work to gain an
immediate appreciation for how the current process works.
DR
•
Variations of the observation technique:
•
In some cases, the observer might participate in the actual work to get a handson feel for how the business process works today. Of necessity this would be
limited to activity that is appropriate for a non-expert to perform and whose
results would not negatively impact the business.
•
The observer becomes a temporary apprentice.
•
The observer watches a demonstration of how a specific process and/or task
are performed.
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Elements
.1
Prepare for observation
•
Determine what sampling of users (e.g. experts and novices, just experts) to
observe and which activities.
•
Prepare questions to ask during or after the shadowing.
.2
Observe
•
Observer introduces himself to the person being observed and:
o
Reassures the user that their work is not being questioned but rather the
observation of the work and resulting documentation will serve as input to
requirements analysis. Informs the user that the observer is present only to
study their processes and will refrain from discussing future solutions to
any problems.
o
Explains to the user that they may stop the observation process at any time
if they feel it is interfering with their work.
o
•
AF
T
5.11.3
150
Suggests to the user that they may “think aloud” while they are working as a
way to share their intentions, challenges, and concerns.
Conduct observation.
o
If using the active observation approach, ask probing questions about why
certain processes and tasks are being done.
DR
o
Take detailed notes.
.3
5.11.4
Post Observation wrap-up – documentation and confirmation
•
Obtain answers to original questions, or new questions that surfaced during the
observations.
•
Feedback a summary of notes to the shadowed worker, as soon as possible, for
review and any clarification.
•
When observing many users, compile notes at regular intervals to identify
commonalties and differences between users. Review findings with the entire
shadowed group to ensure that the final details represent the entire group, not
selected individuals.
Usage Considerations
.1
Advantages:
•
Provides a realistic and practical insight into the business knowledge by getting
a hands-on feel for how the business process works today.
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.2
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Elicits details of informal communication and ways people actually work
around the system that may not be documented anywhere.
Disadvantages
•
Only possible for existing processes.
•
Could be time-consuming.
•
May be disruptive to the person being shadowed.
•
Unusual exceptions and critical situations that happen infrequently may not
occur during the observation.
•
May not well work if the current process involved a lot of intellectual work or
other work that is not easily observable.
Technique: Prototyping
5.12.1
Purpose
AF
T
5.12
Prototyping, when used as an elicitation technique, aims to discover and visualize highlevel interface requirements. Prototyping when utilized during Requirements Analysis
details the interface requirements and integrates them with other analysis
requirements such as use cases, scenarios, data and business rules. In both uses,
business experts often find prototyping to be a concrete means to identify, describe and
validate their interface needs.
Description
DR
5.12.2
Prototyping can be categorized in two ways:
The functional scope of the prototype:
•
Horizontal prototype: Models a shallow, and possibly wide, view of the system’s
functionality. Typically does not have any business logic running behind the
visualization.
•
Vertical prototype: Models a deep, and usually narrow, slice of the entire
system’s functionality.
The use of the prototype throughout the system development lifecycle:
•
‘Throw-away’ Prototype: This exploratory approach seeks to quickly uncover
and clarify interface requirements using simple tools, sometimes just paper and
pencil. As the name suggests, ‘Throw-away’, such a prototype is usually
discarded when the final system has been developed. The focus is on
functionality that is not easily elicited by other techniques, has conflicting
viewpoints, or is difficult to understand.
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5.12.3
152
Evolutionary Prototype: This rigorous approach extends the initial interface
requirements into a fully functioning system and requires a specialized
prototyping tool or language. This prototype produces “running” software. It
emerges as the actual system downstream in the lifecycle.
Elements
.1
.2
Prepare for prototyping
•
Determine the prototyping approach: throw-away vs. evolutionary; vertical vs.
horizontal.
•
Identify the functionality to be modeled.
Prototype
AF
T
Building the prototype is an iterative process. The initial efforts outline the high-level
views. Subsequent iterations add detail depending on the functional scope (horizontal
vs. vertical),
When prototyping a report, the first iteration may produce a list of report specifications
such as data attributes, selection criteria and derivation rules for totals. Further
analysis may draft a detailed layout of the report.
DR
When prototyping an interface that appears on a screen (whether on a computer screen
or a device such as a cell phone, or a copy machine) a number of iterations may be
useful. The initial focus is an end-to-end understanding of the interface flow. Add
details as appropriate to the work.
•
A Storyboard (a.k.a. Dialog Map, Dialog Hierarchy, and Navigation Flow) portrays
the navigation paths across the interface components. This visual includes
abstractions of each screen along with directional arrows that indicate the
allowable navigation flows.
•
Screen specifications list the data attributes, selection criteria and supporting
business rules.
•
A screen layout or mockup provides a graphical representation of the elements. At
this detailed level, one would apply any organizational standards or style guides.
.3
Evaluate the prototype
For detailed prototypes, verify that the logical interface elements trace to user
requirements such as processes, data and business rules.
Validate the prototype represents the user’s needs. Scenarios are useful to ‘test’ the
interfaces.
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Usage Considerations
.1
Advantages
•
Supports users who are more comfortable and effective at articulating their
needs by using pictures, as prototyping lets them “see” the future system’s
interface.
•
A prototype allows for early user interaction and feedback.
•
A throw-away prototype is an inexpensive means to quickly uncover and
confirm a variety of requirements that go beyond just the interface such as
processes, data, business rules.
•
A vertical prototype can demonstrate what is feasible with existing technology,
and where there may be technical gaps.
•
An evolutionary prototype provides a vehicle for designers and developers to
learn about the users’ interface needs and to evolve system requirements.
.2
Disadvantages
•
Depending on the complexity of the target system, using prototyping to elicit
requirements can take considerable time if the process gets bogged down by the
“how's” rather than “what's”.
•
Assumptions about the underlying technology may need to be made in order to
initiate prototyping.
•
A prototype may lead users to set unrealistic expectations of the delivered
system’s performance, completion date, reliability and usability characteristics.
DR
5.13
AF
T
5.12.4
153
5.13.1
Technique: Requirements Workshop
Purpose
A Requirements Workshop is a structured way to capture requirements. A workshop
may be used to scope, discover, define, prioritize and reach closure on requirements for
the target system.
Well-run workshops are considered one of the most effective ways to deliver high
quality requirements quickly. They promote trust, mutual understanding, and strong
communications among the project stakeholders and project team and produce
deliverables that structure and guide future analysis.
5.13.2
Description
A requirements workshop, (also generically referred to as JAD, Joint Application
Design), is not a traditional meeting. Instead, it is a highly productive focused event
attended by carefully selected key stakeholders and subject matter experts for a short,
intensive period (typically one or few days).
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The workshop is facilitated by a team member or ideally, by an experienced, neutral
facilitator. A Scribe (also known as a Recorder) documents the business requirements
elicited as well as any outstanding issues. A business analyst professional may be the
Facilitator or the Scribe in these workshops. In situations where the business analyst
professional is a subject matter expert on the topic, he/she may serve as participant in
the workshop.
A workshop may be used to generate ideas for new features or products, to reach
consensus on a topic, or to review requirements. Other outcomes are often detailed
requirements captured in models, such as the business domain model, data and
behavior models, process/flow models and or usage models.
Elements
.1
Prepare for the Requirements Workshop
•
Clarify the stakeholder’s needs, and the purpose of the workshop.
•
Identify critical stakeholders who should participate in the workshop.
•
Define the workshop’s agenda.
•
Determine what means will be used to document the output of the workshop.
•
Schedule the session(s).
•
Arrange room logistics and equipment.
•
Send materials in advance to prepare the attendees and increase productivity at
the meeting.
•
Conduct pre-workshop interviews with attendees.
DR
AF
T
5.13.3
.2
Conduct/Run the Requirements Workshop
•
Elicit, analyze and document requirements.
•
Obtain consensus on conflicting views.
•
Maintain focus by frequently validating the session’s activities with the
workshop’s stated objectives.
The Facilitator has the responsibility to:
•
Establish a professional and objective tone for the meeting.
•
Enforce discipline, structure and ground rules for the meeting.
•
Introduce the goals and agenda for the meeting.
•
Manage the meeting and keep the team on track.
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•
Facilitate a process of decision making and build consensus, but avoid
participating in the content of the discussion.
•
Ensure that all stakeholders participate and have their input heard.
•
Ask the right questions; analyze the information being provided at the session
by the stakeholders, and follow-up with probing questions, if necessary.
The Scribe’s role is to document the business requirements in the format determined
prior to the workshop.
.3
•
Follow up on any open action items that were recorded at the workshop.
•
Complete the documentation and distribute it to the workshop attendees and
the sponsor.
Usage Considerations
.1
AF
T
5.13.4
Post Requirements Workshop wrap-up done by Facilitator
Advantages:
A workshop can be a means to elicit detailed requirements in a relatively short
period of time.
•
A workshop provides a means for stakeholders to collaborate, make decisions
and gain a mutual understanding of the requirements.
•
Workshop costs are often lower than the cost of performing multiple interviews.
A requirements workshop enables the participants to work together to reach
consensus which is typically a cheaper and faster approach than doing serial
interviews as interviews may yield conflicting requirements and the effort
needed to resolve those conflicts across all interviewees can be very costly.
DR
•
•
.2
Feedback is immediate, e.g. facilitator’s interpretation of requirements is fed
back immediately to the stakeholders and confirmed.
Disadvantages:
•
Due to stakeholders availability it may be difficult to schedule the workshop.
•
The success of the workshop is highly dependent on the expertise of the
facilitator and knowledge of the participants.
•
Requirements workshops that involve too many participants can slow down the
workshop process thus negatively impacting the schedule. Conversely,
collecting input from too few participants can lead to overlooking requirements
that are important to users, or to specifying requirements that don’t represent
the needs of majority of the users.
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5.14
Technique: Reverse Engineering
5.14.1
Purpose
In situations where the software for an existing system has little or outdated
documentation and it is necessary to understand what the system actually does, reverse
engineering is an elicitation technique that can extract implemented requirements
from the software code.
5.14.2
Description
Forward engineering is the traditional process of moving from high level abstractions to
physical implementation. Reverse engineering is a process of analyzing a subject
system/product to identify underlying business processes, data and rules. Based on the
identification work, representations of the system/product may be created at a higher
level of abstraction.
There are two general categories of reverse engineering:
Black Box Reverse Engineering: The system/product is studied without
examining its internal structure.
•
White Box Reverse Engineering: The inner workings of the system/product are
studied.
AF
T
•
The results of reverse engineering can provide:
An understanding of how a product works more comprehensively than by
merely observing it.
DR
•
5.14.3
•
A means to investigate errors and limitations in existing programs and a help in
correcting them.
•
Details to help make products and systems compatible.
•
Details to help evaluate a product and understand its limitations.
•
Documentation of a product whose manufacturer is unresponsive to customer
service requests.
•
Details to help transform obsolete products.
Elements
.1
Prepare for reverse engineering:
•
Determine the scope of the functionality that needs to be reverse-engineered.
•
Evaluate the cost-benefit. As reverse engineering can be time-consuming and
expensive, consider whether the financial investment is warranted by
evaluating the potential benefits gained from improved documentation and/or
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derived abstraction in terms of maintenance of the existing system or
development of a new system/product.
.2
•
Disassemble or decompile the original system either manually or with software.
•
Document the results in a manner that can be reviewed and verified by a
business subject matter expert. These can serve as baseline details to elicit
requirements for extending the existing system
Usage Considerations
.1
Advantages
•
Protects investment in existing system/product by enabling the analysts to
‘build-up’ existing functionality/business implementation.
•
Provides detailed, current, information that can be used to update
documentation of an existing system/product.
.2
AF
T
5.14.4
Perform reverse engineering:
Disadvantages
Expensive and time-consuming.
•
Often restricted by copyright laws when a system/product of another
manufacturer is involved.
•
Existing tools that support reverse engineering have limited capabilities and
require training to use.
DR
•
•
Requires specialized skills:
o
Ability to abstract from ‘specific’ to ‘general’.
o
Ability to draw inferences, especially, when documenting business rules.
o
Ability to co-relate the functions of component(s) of a system with the
current and/or intended business processes.
5.15
Technique: Survey/Questionnaire
5.15.1
Purpose
A survey is a means of eliciting information from many people, anonymously, in a
relatively short time. A survey can collect information about customers, products, work
practices and attitudes. A survey is often referred to as a questionnaire.
5.15.2
Description
A survey administers a set of written questions to the stakeholders and subject matter
experts. Their responses are analyzed and distributed to the appropriate parties.
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Questions in a survey are of two types:
5.15.3
•
Closed: The respondent is asked to select from available responses. Useful
when the issues are known but the range of user responses to them is not. The
responses to closed questions are easier to analyze than those gained from
open-ended questions.
•
Open-ended: The respondent is free to answer the questions as they wish.
Useful when the range of user’s responses is pretty well understood, but the
strength of each response category needs to be determined. The responses to
open-ended questions may provide more detail and a wider range of responses
than those gained from closed-ended questions but open-ended questions are
more difficult to quantify and summarize.
Elements
.1
Prepare
AF
T
A survey requires detailed preparation to ensure the needed information is obtained
while minimizing the responders’ time to complete it.
Define the purpose of the survey and the target survey group: Identify the
objectives and the likely user group to be surveyed. Confirm with the sponsor.
•
Choose the appropriate survey type: Initial steps of a survey are the same as for
interview design (see Section 4.7.2 Interview), keeping in mind that semistructured interviews are similar to ‘open-ended’ surveys; and structured
interviews are similar to ‘closed-ended’ surveys.
DR
•
•
Select the sample group: Consider both the survey type (‘open-ended’ or ‘closeended’) and the number of people in the identified user group to determine if
the entire group should be surveyed. For example: When the sample group is
small, it may be practical to survey all members of the group. When the sample
group is large and the desired survey type is ‘open-ended’, it may be necessary to
identify a subset of users. For such situations use of a statistical sampling
method will help ensure that survey results are not biased.
•
Select the distribution and collection methods: For each sample group
determine the appropriate communication mode – surface mail; e-mail; webbased, telephone.
•
Project the desired level of response: Determine what response rate would be
acceptable. If the actual response rate is lower then the use of the survey results
may be limited. Offering an incentive can raise the response rate but the cost of
the incentive must be justified and budgeted.
•
Determine if the survey should be supported with individual interviews: As a
survey does not provide the depth of data that can be obtained from individual
interviews consider:
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o
Pre-survey interviews may provide ideas for survey questions.
o
Post-survey interviews can target specific survey responses or themes to
elicit a greater level of detail.
Write the survey questions:
o
Communicate the purpose: Explain the objectives of the survey. If the
stakeholders can see the reason for completing the survey, they are more
likely to do so.
o
Be cognizant of the group’s characteristics: Understand the background of
the target group including their environment and specific terminology. Use
this information when writing the questions. If there is significant diversity
in the group’s background it may be useful to divide a large group into
smaller and homogenous groups during the preparation stage and then
produce variations of the survey that fit each group’s background.
o
Focus on the requirement: All questions should be directed towards the
stated objectives and the objectives should be supported by a
comprehensive set of questions.
o
o
Keep the survey short. Less than 10 items is preferable.
Make the survey easy and fast to complete, ideally no more than five or 10
minutes.
Make sure that the question wording is clear and concise.
DR
o
AF
T
•
159
•
o
Avoid double questions in a single question.
o
Avoid questions involving negatives.
o
Avoid complex branching structures.
o
Avoid asking questions that make respondents feel uncomfortable. Trying
to elicit information that is restricted by regulations is likely to put
respondents on the defensive.
Test the survey. Perform a usability test on the survey. Use the results to finetune the survey.
.2
Distribute the survey
.3
Document survey results
•
Collate the responses. For the responses to ‘open-ended’ questions, evaluate the
details and identify any emerging themes.
•
Analyze and summarize the results.
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•
Report findings to the sponsor.
Usage Considerations
.1
Advantages
•
When using ‘closed-ended’ questions, effective in obtaining quantitative data
for use in statistical analysis.
•
When using open-ended questions, the survey results may yield insights and
opinions not easily obtainable through other elicitation techniques.
•
Does not typically require significant time from the responders.
•
Effective and efficient when stakeholders are not located at one place.
•
May result in large number of responses.
•
Quick and relatively inexpensive to administer.
.2
AF
T
5.15.4
160
Disadvantages
Use of open-ended questions requires more analysis.
•
To achieve unbiased-results, specialized skills in statistical sampling methods
are needed when the decision has been made to survey a sample subset.
•
Some questions may be left unanswered or answered incorrectly due to their
ambiguous nature.
DR
•
•
May require follow up questions or more survey iterations depending on the
answers provided.
•
Not well suited for collecting information on actual behaviors.
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Chapter 6: Requirements Analysis
6.1
Knowledge Area Definition and Scope
The Requirements Analysis Knowledge Area describes the tasks and techniques used by
a business analyst to convert stated requirements into a description of the required
capabilities of a potential solution that will fulfill the actual needs of the stakeholders.
To accomplish this, the stated requirements must be analyzed, verified, and validated to
ensure they will meet the goals and objectives of the enterprise.
Input
•
Business Case
•
Solution Scope
•
Stated Requirements
•
Stakeholder Analysis
DR
6.1.1
•
6.1.2
AF
T
Requirements analysis and enterprise analysis are closely related, in that they require
much of the same knowledge and skills and many of the same principles apply to both.
The difference between the two is primarily one of perspective and scope. Business
analysts perform enterprise analysis in order to understand the goals and objectives
underlying a change in the structure and systems of a business, and the larger context
within which the change must be implemented. Requirements analysis is performed in
order to describe the nature and characteristics of a solution that can meet
Business analysis plans
Tasks
Requirements Analysis is performed in order to increase the understanding of a stated
requirement. The tasks defined as part of the Requirements Analysis KA include:
6.2
Prioritize requirements
6.3
Organize requirements
6.4
Specify and model requirements
6.5
Determine assumptions and constraints
6.6
Verify requirements
6.7
Validate requirements
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6.1.3
162
Techniques
The Requirements Analysis KA includes descriptions of several techniques that may be
used by the business analyst to define the solution requirements. These techniques
represent a summary of common approaches to requirements definition. The major
requirements analysis techniques described in this KA are:
Business Rules
•
Data Modeling
•
Event and State Modeling
•
Metrics and Reporting
•
Non-functional Requirements
•
Organizational Modeling
•
Process Modeling
•
Scenarios and Use Cases
Outputs
AF
T
6.1.4
•
DR
The output of the tasks in this KA is a set of specified and modeled requirements that
have been prioritized, organized, verified and validated by the stakeholders,
accompanied by relevant assumptions and constraints. The requirements are captured
and managed in a form that makes them accessible to stakeholders and to the project
team for however long they will remain relevant. Methods to manage requirements
(including requirements management tools, documents, and other approaches) are
described in the Requirements Management and Communication KA.
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Task: Prioritize Requirements
6.2.1
Purpose
AF
T
6.2
163
6.2.2
DR
Requirements are not all equally important. Prioritization of requirements enables us to
ensure that analysis and implementation efforts focus first on the most critical
requirements.
Description
Requirement prioritization is a decision process used to determine the relative
importance of requirements. The importance of requirements may be based on their
relative value, risk, difficulty of implementation, or on other criteria.
These priorities are used while performing business analysis planning to determine
which requirements should be targets for further analysis, or during the design,
construction, and implementation of the solution to guide team efforts.
6.2.3
Input
Inputs needed to prioritize requirements include the following:
Business Case: Business requirements for the new solution are documented in the
business case (see Enterprise Analysis KA). The business case states the key goals and
measures of success for a project or organization. The priorities assigned to
requirements should be aligned with strategic goals and objectives as documented in
the business case.
Stated Requirements: Stated requirements are those that have been elicited from
stakeholders (see Elicitation KA). Requirements prioritization requires that
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requirements have been stated by stakeholders; however, the requirements do not need
to be fully analyzed or in their final form. In fact, requirements should be prioritized as
early in the project as possible to ensure the business analyst is working on the higher
priority requirements first.
Stakeholder Analysis: The list of stakeholders that is developed during analysis
planning activities (see Business Analysis Planning & Monitoring), and annotated with
their levels of authority and influence, is used to determine which stakeholders need to
participate in prioritization.
6.2.4
Elements
.1
Basis for Prioritization
AF
T
The requirement prioritization approach is elicited from key business and technical
stakeholders who have decision-making authority about how the solution will be
implemented. Requirements may be prioritized on the basis of a number of different
criteria, including:
Business Value: This approach prioritizes requirements based on cost-benefit analysis
of their relative value to the organization. The most valuable requirements will be
targeted for development first. This approach is common when enhancing an existing
solution that already meets specified minimal requirements, or when delivering the
solution incrementally.
DR
Business or Technical Risk: This approach selects requirements that present the
highest risk of project failure. Those requirements are investigated and implemented
first to ensure that if the project fails it does so after as little expenditure as possible.
Implementation Difficulty: This approach selects requirements that are easiest to
implement. This approach is often selected during a pilot of a new development process
or tools or when rolling out a packaged solution, as it allows the project team to gain
familiarity with those things while working on lower-risk requirements.
Likelihood of Success. This approach focuses on the requirements that are likely to
produce quick and relatively certain successes. It is common when a project is
controversial and early signs of progress are needed to gain support for the initiative.
Regulatory or Policy Compliance: This approach prioritizes requirements that must
be implemented in order to meet regulatory or policy demands imposed on the
organization, which may take precedence over other stakeholder interests.
Stakeholder Agreement: This approach requires the stakeholders to reach a consensus
on which requirements are most useful or valuable. It is often used in combination with
one or more of the other approaches described above.
.2
Challenges
There are a number of risks that may pose challenges when facilitating a requirements
prioritization session, including:
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Non-negotiable Demands: Stakeholders attempt to avoid difficult choices, fail to
recognize the necessity for making tradeoffs, and/or desire to rank all requirements as
high priority.
Gaming the System: A stakeholder who recognizes that all requirements that have
significant business value are likely to be approved and supported by others, focuses
on ensuring that the requirements of most interest to them are included.
Unrealistic Tradeoffs: The solution development team may intentionally or
unintentionally try to influence the result of the prioritization process by
overestimating the difficulty or complexity of implementing certain requirements.
6.2.5
Techniques
.1
MoSCoW Analysis
AF
T
MoSCoW analysis divides requirements into four categories: Must, Should, Could, and
Won’t. It is most applicable for software development or timeboxed delivery efforts, as it
focuses on determining which requirements can be implemented given specified time
or resource constraints. Category descriptions are as follows:
Must: Describes a requirement that must be satisfied in the final solution for the
solution to be considered a success.
Should: Represents a high-priority item that should be included in the solution if it is
possible. This is often a critical requirement but one which can be satisfied in other
ways if strictly necessary.
DR
Could: Describes a requirement which is considered desirable but not necessary. This
will be included if time and resources permit.
Won’t: Represents a requirement that stakeholders have agreed will not be
implemented in a given release, but may be considered for the future.
.2
Kano Analysis
Kano analysis divides product characteristics or qualities into three categories:
threshold characteristics, performance characteristics, and excitement characteristics.
This approach is most applicable for consumer products or goods that will be resold, as
it focuses on identifying requirements that will encourage widespread use or adoption
of a product. The categorization of a particular characteristic tends to shift over time, as
customers grow to expect features or characteristics to be present in a product.
Category descriptions are as follows:
Threshold characteristics are those that are absolutely necessary for stakeholders to
consider adopting a product. Their absence will cause intense dissatisfaction, but as
they represent minimum acceptance criteria, their presence will not increase customer
satisfaction beyond a certain low level.
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Performance characteristics are those for which increases in the delivery of the
characteristic produce a fairly linear increase in satisfaction. They represent the
features that customers expect to see in a product (speed, ease of use, etc).
DR
AF
T
Excitement characteristics are those that significantly exceed customer expectations or
represent things that the customer did not recognize were possible. Their presence will
dramatically increase customer satisfaction over time.
.3
Timeboxing/Budgeting
Timeboxing or budgeting prioritizes requirements based on allocation of a fixed
resource. Timeboxing prioritizes requirements based on the amount of work that the
project team is capable of delivering in a set period of time. Budgeting is used when the
project team has been allocated a fixed amount of money. The approachis most often
used when a fixed deadline must be met or for solutions that are enhanced on a regular
and frequent basis. There are a number of approaches that can be taken to determine
which requirements can be included in a timeboxed iteration:
•
All In: Begin with all the eligible requirements with assigned Duration or Cost.
Remove the requirements in order to meet the Calendar dates or Budget limit.
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•
All Out: Begin with adding the requirement(s) with assigned Duration or Cost to
the Calendar or Budget. Stop when the Calendar dates are met or Budget limit is
reached.
•
Selective: Begin by identifying high priority requirements added to the Calendar or
Budget. Add or remove requirements in order to meet the Calendar date or Budget
limit.
.4
Voting
Voting allocates a fixed amount of resources (votes, play money, or other tokens) to
each participant in prioritization for them to distribute among proposed features or
requirements. The requirements that receive the most resources are the ones that will
be investigated or developed first.
6.2.6
Stakeholders
AF
T
Sponsor: Since sponsors are ultimately accountable for the business solution and
major project decisions, they need to be invited to participate in the discussion.
Project Manager: The project manager is responsible for the implementation of the
solution and will use the priority of requirements as an input into the project plan.
Domain SMEs: Domain SMEs may be invited to participate in the prioritization of
requirements, to assess the relative business need, and to negotiate their importance.
Implementation SMEs: They may be asked to evaluate the relative complexity or risk
associated with the implementation of certain requirements.
Output
DR
6.2.7
At the completion of this task, each requirement should have an assigned priority. This
may be a description (e.g., High, Medium, Low), a numerical designation (e.g., 1, 2, 3), or
a prioritization label based on the technique used. The priorities may apply to a
requirement or to a group or related requirements.
6.3
6.3.1
Task: Organize Requirements
Purpose
The purpose of organizing requirements is to create a set of views of the requirements
for the new business solution that are comprehensive, complete, consistent, and
understood from all stakeholder perspectives, including: business domain experts,
business users, solution designers, developers, integrators, and testers.
6.3.2
Description
There are two key objectives when organizing requirements.
Create an organized structure for the requirements: Using a structured, disciplined,
logical approach to organizing requirements that incorporates a top-down modularity
allows for progressively elaborating the requirements into more detailed components.
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This approach also allows for requirements components to be carefully allocated to
solution modules, thus ensuring all requirements are satisfied.
Identify requirements interrelationships and dependencies: Requirements alone are not
complex; it is the relationships and interdependencies among requirements that adds
the element of complexity. Therefore, the organized requirements must also clearly
depict the inherent relationships between requirements.
Like all business analysis tasks, organizing requirements is scalable. In fact, this task
may not be required if the business analyst is specifying a small set of requirements—
for instance, a small enhancement to an existing system.
6.3.3
Input
Although business analysis tasks are performed iteratively, when the business analysis
professional is organizing requirements, the business requirements have usually been
drafted at a high level in the business case, and the stakeholder requirements have been
stated in some form as output from elicitation activities. Inputs include:
AF
T
Business Case: this defines the business need in terms of the business problem or
opportunity, goals that the solution is expected to achieve and the measures that will be
used to determine the success of the deployed solution in terms of business benefits
(see Enterprise Analysis KA).
Solution Scope: The business case also defines the solution scope. When complete, the
requirements describe what is needed to meet this scope (see Enterprise Analysis KA).
DR
Stated Requirements: Requirements are stated in various forms as an output to
elicitation activities (see Elicitation KA). An organized requirements structure cannot
be developed without at least some understanding of stakeholder needs and the
solution scope. However, the requirements do not need to be in any particular state:
organizing of the
Organizational Standards (if present) will likely describe the structures and types of
requirements information that stakeholders in the organization expect.
6.3.4
Elements
There are many different ways to organize requirements, and as yet, no standard exists
in the industry. When the business analysis professional organizes requirements, the
following guidelines designed to promote consistency, repeatability and quality are
taken into consideration:
•
Follow organizational standards that describe the types of requirements that will be
used consistently on projects; if no standard exists, the business analysis
professional begins to develop a standard approach
•
Use simple, consistent definitions for each of these types of requirements described
in natural language, and using the business terminology that is prevalent in the
enterprise
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•
Document dependencies and interrelationships among requirements
•
Produce a consistent set of models and specifications to be used to document the
requirements, e.g., textual documents, tables, graphs, and specific formal models
(described in the next task, Specifying and Modeling Requirements).
Since the term requirement(s) takes on different meanings depending on the nature of
the business analysis tasks that are underway, for clarification, requirements should
always be preceded by a descriptor designating the requirement type, for example:
business requirements, stated requirements, stakeholder/user requirements, system
requirements, operational requirements, test requirements.
.1
Select the Method for Organizing Requirements
AF
T
The approach to organizing requirements is greatly influenced by the nature of the
project. The business analyst and project team members collaboratively select a
method for structuring requirements. This choice will guide project work, influence
sequencing of work packages, provide project milestones and assist in solution design.
Some project characteristic considerations the business analysis professional and
project team members take into account when deciding how to organize requirements
include the following:
Process Focused Initiatives: Organize requirements by completing a high-level
process architecture and then adding detailed work instruction for additional
process details.
DR
Custom Software Development Projects: The typical approach is to divide
requirements into functional and non-functional categories.
Data Intensive Projects: Will be governed by the mix of data migration, data
identification, data integration needed by the project. Business views for each
need to be specified and modeled. For data intensive projects, the work is often
structured iteratively as discovery is made in one area and incorporated for
future iterations.
Software Service Identification: Requires structuring of cross-functional
business processes accompanied by detailed steps and data views. This
structure allows common services to be identified that can be reused across the
organization.
.2
Determine Requirement Level
Requirements can be articulated on a number of different levels of abstraction.
Requirements are frequently described as needing to say what needs to be done, not
how to do it. This formulation can be problematic, as whether something is a “what” or
a “how” depends on the perspective of the audience. For instance, a decision to
implement a business process management engine can be what we are doing (from the
perspective of the project team) and how we are improving our process agility (from the
perspective of the enterprise architecture group). From the perspective of business
analysis, the critical point is that
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When practicing business analysis, we can usefully distinguish between what and how,
(or between requirements and design), by understanding that our perspective on the
difference between those terms needs to be aligned with the perspective of our business
stakeholders. The purpose of business analysis is to ensure that solutions meet their
needs. There are a number of formal structures for levels of abstraction, including those
outlined in enterprise architecture models such as the Zachman Framework.
Structured Requirements Models
A reasonably simple model for structuring requirement levels follows. Each level can be
referred to as a requirement “type”. These models were primarily intended for use in
structuring business software application requirements, in that they seek to align the
functional behavior of the software application with the business objectives of the
organization and the needs of various stakeholders. However, the general concepts can
be applied to many business analysis efforts. The structured requirements model
defines the most often used categories or classes of requirements that can apply to a
given situation to help capture requirements:
AF
T
Business Requirements: These requirements describe business goals, objectives, or
needs of the enterprise. They describe the reasons why a project is initiated, the
objectives that the project will achieve, and the metrics which will be used to measure
its success.
Stakeholder or User Requirements: These are statements of the needs of a particular
stakeholder or class of stakeholders, and how that stakeholder will interact with the
solution. Stakeholder requirements serve as a bridge between business requirements
and the various classes of solution requirements.
DR
Solution Requirements actually describe what the solution will do rather than the
higher-level needs that it will meet. They are intended to guide the construction and
delivery of a solution rather than evaluate which solutions are acceptable. They are
broken down into:
•
Functional Requirements: These requirements describe the behavior and
information that the solution will manage. They describe capabilities the
system will be able to perform in terms of behaviors or operations – a specific
system action or response.
•
Nonfunctional Requirements: These requirements capture conditions that do
not directly relate to the behavior or functionality of the solution, but rather
describe environmental conditions under which the solution must remain
effective or qualities that the systems must have.
•
Implementation Requirements: These requirements describe elements of the
solution or capabilities that it must have in order to be implemented
successfully, but which are not important after the implementation is complete.
They typically cover data conversion from existing systems, skill gaps that must
be addressed, and other related changes to reach the desired future state.
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.3
171
Document Requirement Dependencies and Relationships
Individual requirements almost always have inherent dependencies and
interrelationships. As we organize and structure requirements, we identify and depict
these dependencies. Consider the following example:
#
Requirement Descriptions
A
The system shall generate a scheduled monthly report of total customer calls to the
hotlines.
B
The system shall have reporting capability.
AF
T
In this example, Requirement A is dependent on B. Requirement A is also a subset of
Requirement B. There is also an implicit dependency for Requirements A and B: there
must be a data source and a scheduler in place in order to implement the above two
requirements.
After examining and organizing the set of requirements, the BA should document the
dependencies and relationships for each of the requirements. Knowing the
dependencies and relationships between requirements helps when determining the
sequence in which requirements are to be addressed. The following are commonly
known relationships:
DR
Necessity: this relationship exists when it only makes sense to implement requirement
A if requirement B is also implemented. This relationship may be unidirectional or bidirectional. Example:
#
Requirement Descriptions
A
The system shall have a reporting tool that allows user to search 48 data elements.
B
The system shall have reporting tool that allows user to specify up to 48 data
elements to be displayed on the report.
Requirement A exists only when Requirement B exists. The assumption is that an adhoc reporting tool allows users to search using multiple criteria and generate reports
that display the desired data set.
Effort: This relationship exists when requirement A is easier to implement if
requirement B is also implemented. Example:
#
Requirement Descriptions
A
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B
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The system shall generate a scheduled monthly report of total customer email
received for product X.
Requirements A and B can both be implemented through a reporting component, and
so it will likely make sense to implement them simultaneously.
Subset: When the requirement specifications are the decomposed outcome of another
requirement specification. Example:
#
Requirement Descriptions
The system shall generate a scheduled monthly report of total customer calls
received for product X.
A.1
The scheduled monthly report of Product X Customer Calls shall include a header
section indicating the start date and the end date of the period.
A.2
The scheduled monthly report of Product X Customer Calls shall include a footer
section indicating the page number of the report and date of report generation.
AF
T
A
Requirements A.1 and A.2 are subsets of Requirement A.
DR
Cover: When the requirement specification fully includes the other requirement
specifications. This is a special case of subset; as the top level requirement is the sum of
the sub-requirements. Example:
#
Requirement Descriptions
A
The system shall have periodic scheduling capabilities
A.1
The system shall be able to generate daily reports.
A.2
The system shall be able to generate weekly reports
A.3
The system shall be able to generate bi-monthly reports.
A.4
The system shall be able to generate monthly reports
A.5
The system shall be able to generate quarterly reports
A.6
The system shall be able to generate annual reports
Requirement A covers A.1 through A.6, as if those requirements are implemented it will
also have been implemented.
Value: when including Requirement A affects the desirability of requirement B (either
increasing or decreasing it). This may occur because requirement B is only necessary if
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A is implemented, or because only one of the requirements should be implemented (for
instance, when discussing two features that potentially meet a business requirement).
6.3.5
Techniques
There are various techniques for organizing individual requirements into a logical
structured set of requirements, including those described here and in the techniques
section at the end of this chapter.
.1
Hierarchical Decomposition
A prevalent technique used to organize requirements is the functional decomposition
diagram. The primary goal of functional decomposition is to ensure that functions are
separated into sub-functions that interact as independently as possible, so that work
can be assigned to different groups. This provides the ability to scale and manage larger
projects. The process of functional decomposition continues until a sub-function
cannot be broken down into two or more lower-level functions.
AF
T
Decomposition is a technique to structure the requirements into business functions or
in some other logical breakdown. The decomposition technique is a top-down,
structured approach to organizing requirements that is used when scope is known, or
to help determine the scope. Also referred to as conceptual modeling, because it
represents the concept under consideration, decomposition diagrams are also used to
scope the solution and build the business case (see Enterprise Analysis KA), and are
decomposed in more detail during requirements analysis.
DR
Decomposition can be a helpful technique to be used for virtually any project type, but
is most often seen in a systems development project or an effort to develop the user or
system concept of operations, which describes the planned use of any solution in the
operational environment. The goal is to break down a high-level business view into
smaller pieces to allow for analysis of the detail functions, processes, and physical
solution components.
Decomposition diagrams are most often represented by a hierarchical diagram, but are
also depicted as a tree diagram, or by numbering each sub-component. Each
component consists of the sub-components beneath it. Functional Decomposition
.2
Networks
The primary alternative to structuring a problem in a hierarchical, top down fashion is
to view it as a network of interrelated problems. This is sometimes referred to as a
bottom-up approach. This approach generally involved taking one aspect or element of
the problem under analysis, ensuring it is properly understood, and defining its
relationship to other aspects, each of which can be further explored in turn.
A common example of this kind of structure for requirements is provided by the use of
scenarios and use cases. Each use case stands alone, either allowing an actor to
accomplish a goal or detailing the response to an event. Exploring use cases involves
adding to that initial scope through the addition of alternative flows or new use cases.
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The key to structuring requirements in a networked fashion is to ensure that the
interfaces and connections between the network components are clearly defined and
maintained (see Interface Analysis).
.3
Other Techniques
Techniques relevant to the organization of requirements include Business Rules, Data
Models, Event and State Modeling, Goal Analysis, Metrics and Reporting,
Organizational Modeling, Personas and User Profiles, Process Modeling, Prototyping,
and Scenarios and Use Cases.
6.3.6
Stakeholders
The business analyst(s) works within established project procedures and milestones to
provide all stakeholders with the opportunity to review and approve the approach to
organizing requirements. Additional refinement of the organizational structure is
needed if the information is not decomposed in a way that is easily reviewed or agreed
to by the various stakeholder groups, including:
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance
•
Regulator
•
Sponsor
DR
AF
T
•
Business and technical stakeholders are impacted by analysis techniques used to
organize requirements since they need to verify and validate the requirements.
Decomposition is used to help them understand how requirements impact their
business area. Therefore the business analysts tailors the organization approach to
meet the needs of key stakeholder groups.
Project managers use the organized set of requirements to verify the scope of the
solution and assess the work that needs to be done in the project. The implementation
team can be then be assigned to specific lower-level requirements. Business analysts
can then choose to structure the models and specifications that are created (see next
task) to meet the needs of each person, project team or vendor team. Clear alignment
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between the lower-level requirement models and specifications and who is assigned to
the work facilitates tracking and reporting of project progress.
6.3.7
Output
The output of this task is an organized structure for the requirements and a
documented set of relationships between them.
6.4
Task: Specify and Model Requirements
6.4.1
Purpose
To document requirements in multiple ways using a combination of textual statements,
matrices, diagrams and formal models articulated in natural (non-technical) language.
6.4.2
Description
6.4.3
AF
T
The specification and modeling of requirements involves documenting stakeholder
needs and describing them in ways that facilitate the identification of an appropriate
solution. It enables the stakeholders to understand how their needs interact and where
commonalities and differences exist.
Input
6.4.4
DR
Requirements: A requirement cannot be specified or modeled until it has been
identified. These requirements may be stated requirements (an expression of a
stakeholder need, see Elicitation KA), a requirements that has failed verification or
validation, or requirements that the solution team cannot implement (and so are in
need of revision).
Elements
.1
Specifications using Natural Language
Requirements are used by all stakeholders, and therefore are better stated as simply as
possible using natural, business language. Some requirements are best stated in simple
textual sentences and paragraphs and other in table format. Requirements that have
very precise meaning are best stated in textual form, whereas, models and graphs are
better used to indicate sequence and dependencies.
Well-formed Requirements
Guidelines for writing well-formed requirements include:
•
Express one and only one requirement at a time.
•
Avoid complex conditional clauses.
•
Do not assume your reader has domain knowledge.
•
Use terminology that is consistent.
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•
Express requirements as a verb or verb phrase.
•
Write in the active voice, clearly describing who or what is responsible for fulfilling
the requirement.
A well-formed textual requirement must describe the capabilities of the solution, any
conditions that must exist for the requirement to operate, and any constraints that may
prevent the solution from fulfilling the requirement. Each of the following elements
should be considered when structuring a requirement to ensure that it is well-formed.
Action Verb: Describes what the subject must do. Common actions include advise,
assign, check, create, delete, display, obtain, and update.
Continuances: Phrases that introduce the specification of requirements at a lower level
(and indicate dependencies between requirements). Examples of continuances are: as
follows, listed, such as.
AF
T
Directives: Phrases that point to illustrative information within the requirements
document. These strengthen the document's specification statements and makes them
more understandable. Directives can be identified by words like figure/diagram, for
example, note.
Event/Condition: Describes when the requirement must be fulfilled. This may be an
external event that triggers the requirement, or a condition under which the solution is
operating.
DR
Imperative: Words and phrases that command that something must be provided (e.g.,
shall, must, must not, is required to). Words such as should, can, or may imply that
conformance to the requirement is optional, and so are to be avoided when specifying
requirements.
Subject: Who performs the operation. This may be a person or a system, but the subject
responds to the event or condition in an effort to fulfill the requirement.
Object: The entities or data that are involved in fulfilling the requirement.
Outcome: Describes the desired result, including any criteria used to determine that
the requirement has been successfully fulfilled.
.2
Models
Models are an abstraction and simplification of reality. Each modeling technique, which
results in a unique model as a deliverable, represents a different view into the reality of
the business domain undergoing change. No one model represents the entirety of the
business domain. Therefore, several different models are often needed to adequately
analyze and document requirements.
A business domain is defined as the problem area undergoing analysis. A business
domain model is a conceptual view of all or part of an enterprise focusing on products,
deliverables and events that are important to the mission of the organization. It can be
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thought of as a conceptual view of the solution which describes the various entities
involved and their relationships. The domain model is useful to validate the solution
scope with business and technical stakeholders. Elements typically include those listed
below. These aspects of a business domain model do not have any inherent hierarchy-effective analysis can potentially start with any aspect of the model and reach out to
encompass the others. For example, use case analysis can start with goals (Cockburn,
2001) or events (Robertson and Robertson, yyyy) and capture process and rules. BPM
starts by identifying processes and then derives roles, events and rules.
User Classes, Profiles, or Roles. This is how we understand we describe the people
who directly interact with our solution. Each role groups together people with similar
needs, expectations, and goals. Those goals, needs, etc. are the source of requirements,
and they need to be met somehow by our solution.
AF
T
Entities and Relationships. These are the things we need to know about. They usually
correspond to something in the real world; a place, a person, a thing, an organization.
We need to know what objects, entities or facts are relevant to our business domain and
how they connect to other things. Data models expand on this to also capture what
information we know about things.
Events. When somebody asks our system or organization to do something, e.g., process
an order, generate a monthly report, or anything else, it's an event. Events are things we
need to respond to in some way.
DR
Processes. Processes can be simple (involving one person and a system) or complex
(involving many people, departments, organizations and systems), but they tell us who
and what has to be involved in fully responding to an event, or how people in the
enterprise collaborate to achieve a goal.
Rules. Rules are how we enforce our goals and how we make decisions. They can tell us
when we can change information associated with an entity, what values of information
are valid, how we make decisions in a process, and what our priorities are.
Modeling Formats
Models may be either textual or graphical. Graphical models are often referred to as
‘diagrams’. Note that some industry literature may consider only graphical
representations as ‘models’. For purposes of the BABOK, a model may be either textual
or graphical.
The choice of which model(s) to use for a particular project is determined by the type of
information to be communicated, as well as the audience that will consume the
information. Models can:
•
Describe a situation or define a problem
•
Define boundaries for business domains and sub-domains, and describe the
components within each defined boundary
•
Describe thought processes and action flows
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Categorize and create hierarchies of items
•
Show components and their relationships
•
Show business logic
178
Though textual descriptions of the above are possible, each of the above items can also
be represented in a diagram. Whether or not a diagram is used in place of or in addition
to a textual description is often determined by the audience for the information, as well
as the level of detail in a particular model. For example, upper management frequently
wants summarized information and quick snapshots, for which graphical depictions are
suitable. On the other hand, technical resources need the detailed information that
often can only be provided in textual descriptions. However, graphical depictions are
also useful to the technical resources in order to establish the context in which the
details operate, and some graphical models may provide a sufficient level of detail for
the technical resources to perform their tasks.
AF
T
Models may be used not only to document the final requirements, but also as a tool in
the requirements elicitation process (see Elicitation KA). Graphical models in particular
are useful for clarifying understanding of requirements, as the diagrams present a visual
snapshot of an aspect of the business domain, which most people can more easily grasp,
as opposed to a lengthy textual description. Models used during requirements
elicitation may or may not result in a documented model in the final requirements
package. It is the business analyst’s responsibility to select the most appropriate
model(s) at each stage of the requirements process to accurately communicate the
requirements.
DR
Describe Context
Describe the circumstances within which the model occurs, in order to give the model
meaning. The context may be either business or technically oriented, depending on the
specific information and the audience.
Model Selection Considerations
Items to be considered when determining the most appropriate models to use are listed
below.
Notations
Declare and describe any symbol or notation used. On diagrams, this often means
including a ‘key’ that aids in the interpretation of the symbols and/or colors used.
Formal vs. Informal Models
A formal model follows semantics that are defined in a standard to indicate the
meaning of each model element. A formal model can often convey a great deal of
meaning, but some of the subtleties of the model may not be properly conveyed to an
audience that is unfamiliar with the specific notation.
An informal model doesn’t have a formal semantic definition and instead connects
elements in ways that are meaningful for the analyst and the audience. While the model
may be less expressive, it requires no special training to interpret.
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Style Considerations
There are some general principles that apply to all diagrams and models, no matter
what notation is used:
Use terminology specific to your domain. Models are more easily understood if the
labels match the words that the audience uses to describe things.
In addition, there are some general principles that apply specifically to diagrams:
Avoid crossing lines. Lines that cross one another are confusing and can make the
reader uncertain if a connection is intended. If crossed lines cannot be avoided, it’s
usually best to include a little curve or ‘hop’ in one of the lines where they cross.
AF
T
Similar elements should be consistent in shape, size and color. An element that is
larger or colored differently automatically draws the reader’s attention and may cause
the reader to assume there is something about that element that warrants special
attention. If this is not the intention, it’s best to use the same shapes, sizes and colors
for similar elements.
Show progression in the natural reading direction. For English-speaking audiences,
this means that diagrams should flow from top to bottom and from left to right. This
advice may not apply in all cultures and languages.
.3
Improvement Opportunities
DR
As the requirements are developed, search for opportunities to improve the operation of
the business. Many of these are specific to the analysis technique in question, but some
common opportunities that should be considered as analysis is performed include:
Automate or simplify the work people perform: Relatively simple tasks, where
decisions are made on the basis of strict or inflexible rules, are prime candidates for
automation.
Improve access to information: Provide greater amounts of information to staff
dealing with customers or to the customers themselves, reducing the need for
specialists. Decision makers can be provided with more useful or more current data.
Reduced complexity of interfaces: Interfaces are needed whenever work is transferred
between systems or between people. Reducing their complexity can improve
understanding
Increase consistency of behavior: Different workers may handle similar cases in a very
different fashion, causing customer dissatisfaction and frustration.
Identify similar or related requirements: Different stakeholder groups may have
common needs that can be met with a single solution, reducing the cost of
implementation.
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.4
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Capture Requirements Attributes
As each requirement or set of requirements is specified and modeled, the relevant
attributes (as selected through Business Analysis Planning and Monitoring KA) must be
captured.
6.4.5
Techniques
Unfortunately, there is not one technique that holistically pulls everything together in a
nice, neat view of the business domain. As we attempt to structure business analysis
deliverables, it is imperative that we use models to augment the requirements
specifications that are documents drafted in natural, textual language. Whenever
possible, business analysis professionals strive to use industry-standard language in
their analysis models and specifications. However, unconventional modeling
approaches tailored to the unique needs of the stakeholders, may be valuable in certain
circumstances. The techniques described in this section are used for business analysts
to depict the business domain or create conceptual representations of the business
solution.
Matrix Documentation
AF
T
.1
A table is the simplest form of matrix. A table is used when the business analyst is
looking to convey a set of requirements that have a complex but uniform structure
which can be broken down into elements that apply to every entry in the table.
DR
Requirements attributes and Data Dictionaries are often expressed in tabular form.
Matrices are often used for traceability of requirements to each other, from
requirements to test cases, and for gap analysis. Matrices are also used for prioritizing
requirements by mapping them against project objectives.
A more complex matrix will also express information in the rows of the table. Rather
than presenting repeating information, this form of matrix is usually intended to
indicate that two elements are related in some fashion (for instance, that a requirement
affects a particular data element).
.2
Decision Tables/Trees
Decision tables are used to structure the presentation of a series of closely related
business rules. Anything that is presented in a decision table or a decision tree can be
stated as a series of sentences, but the tabular format makes it easier for stakeholders to
understand the essential similarities and focus in on the differences. A decision table
may also be used when multiple rules may apply to a situation.
6.4.6
Stakeholders
All stakeholders are impacted by requirements models and specifications, including:
•
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
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End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance
•
Regulator
•
Sponsor
181
Output
Modeled and specified requirements are produced by this task.
Task: Determine Assumptions and Constraints
6.5.1
Purpose
AF
T
6.5
The purpose of this task is to identify the assumptions made and constraints identified
during requirements analysis that will impact the solution design.
6.5.2
Description
DR
Assumptions and constraints are generally documented throughout the life of a project,
and are not the sole responsibility of the business analyst. They are generally
documented as simple English statements, with associated attributes (e.g., date
identified, owner, impact, associated risk, and other explanatory information).
Assumptions are factors that are believed to be true, but have not been confirmed.
Assumptions may affect all aspects of the project and pose a certain degree of risk if
they do not prove to be true. The business analyst is primarily concerned with
assumptions made about to fill in gaps of knowledge about all types of requirements,
The business analyst not only identifies and documents assumptions, but continually
attempts to confirm the accuracy of the assumptions, and identifies and manages risks
to the ability of the solution to meet the business need.
Constraints are defined as restrictions or limitations to the process. While the project
manager is concerned with schedule, cost and resource constraints, the business
analyst is responsible for documenting any restrictions or limitations to the solution
design, construction, testing, validation and deployment. Solution constraints describe
aspects of the current state, or planned future state that may not be changed. They are
not requirements, since they are not implemented in any form by the project team.
Constraints are provided to the project team to inform them that options they would
normally be allowed to consider are not available. They place limitations on how the
problem described by the requirements may be solved.
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Assumptions and constraints are identified as an output of elicitation. They are defined
and clarified as requirements are understood. In many cases, lower-level requirements
may be dependent on, and therefore traced back to, the presence of an assumption or
constraint and so may be impacted if the assumption proves false or the constraint is
changed.
6.5.3
Input
Elicitation Results: Assumptions and constraints are identified through elicitation
from stakeholders.
6.5.4
Elements
.1
Business Constraints
.2
AF
T
Business constraints describe limitations on available solutions, or an aspect of the
current state that cannot be changed by the deployment of the new solution. They may
reflect budgetary restrictions, time restrictions, limits on the number of resources
available, restrictions based on the skills of the project team and the stakeholders, a
requirement that certain stakeholders not be affected by the implementation of the
solution, or any other organizational restriction. Constraints should be carefully
examined to ensure that they are accurate and justified.
Technical Constraints
DR
Technical constraints include any architecture decisions that are made that may impact
the design of the solution. These may include development languages, hardware and
software platforms, and application software that must be used. Constraints may also
specify restrictions such as resource utilization, message size and timing, software size,
maximum number of and size of files, records and data elements. Technical constraints
include any enterprise architecture standards that must be followed.
As a general rule, technical constraints generally are more likely to impact the solution
team than they are the business analyst. However, technical constraints may create a
situation where a requirement cannot be met and the business analyst must look for
other ways to satisfy it.
.3
Assumptions
An assumption is anything that is believed to be true but that has not actually been
verified. Assumptions need to be documented, and if an assumption is found to be false
it will usually impact the project in some manner. Assumptions are therefore a source of
potential project risk. Assumptions may also reflect an understanding of how desired
outcomes are likely to be achieved--for instance, stakeholders may believe that
customers will respond in a certain way to a change in how a product is delivered, but
there may be only anecdotal evidence to support that implementation.
6.5.5
Techniques
Constraints and assumptions are generally documented in natural language in simple
tables or spreadsheets. Both assumptions and constraints are often identified, reviewed
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and managed using the ongoing planning, monitoring, and issue/risk management
activities of the project team.
6.5.6
Stakeholders
The primary consumers of assumptions and constraints are the implementation SMEs,
who will have to integrate them into their proposed solution. The stakeholder
responsible for defining a particular assumption or constraint should be involved in any
discussion that involves changing it. Since assumptions and constraints can originate
from and/or impact any stakeholder, all stakeholders are involved.
6.5.7
Output
Documented assumptions and constraints.
6.6
Task: Verify Requirements
6.6.1
Purpose
6.6.2
AF
T
Requirements verification involves evaluating requirement to verify that they meet
quality specifications. It ensures that the requirements are sufficiently defined and
structured so that the solution development team can use them in the design,
development and implementation of a solution.
Description
DR
Verifying requirements ensures that the requirements have been defined correctly; that
is, that they are of good quality. This requires that selected project stakeholders agree
that the requirements meet the relevant quality standards.
Requirements verification constitutes a final check by the business analyst and key
stakeholders to determine that the requirements analysis has been correctly performed
and that the requirements are: a) ready for formal review and validation by the
customers and users, and b) provide all the information needed to develop the solution.
The terms verification and validation has several variations in meanings. Requirements
verification differs from requirements validation in that requirements validation
focuses on whether or not the stated requirements support and are aligned with the
goals and objectives of the business and satisfy users , whereas requirements
verifications focuses on the completeness, correctness, and usability of the
requirements from a quality standpoint. Requirements validation is a form of
backwards traceability, whereas requirement verification looks forward in preparation
for the next project phases. Requirements validation is a pre-requisite for requirements
verification.
6.6.3
Input
Inputs to requirements verification are a complete set of requirement artifacts that
have been prioritized, specified and organized into a structured set of requirements
models and documents.
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Elements
The business analyst verifies that requirements have been specified in well-written
requirements statements. Well-formed, unambiguous requirements allow for the more
effective use of project resources, since they reduce rework caused by defects in the
requirements.
.1
Characteristics of Requirements Quality
A quality requirement exhibits the following characteristics, at a minimum:
Cohesive: Each requirement should be cohesive, even though cohesion may vary with
different types of requirements. Ensure that each requirement specifies only one thing.
Ensure that all parts of the requirement belong together.
AF
T
Complete: The entire set of requirements should represent all relevant requirements.
Also each individual requirement should be complete. Ensure each requirement is selfcontained without any missing information. It must define all possible situations that
can be encountered and the appropriate response to each.
Consistent: Ensure that individual requirements do not contradict each other or
describe the same requirement using different wording. Also the level of detail supplied
for each requirement should be the same.
Correct: Defects in requirements will lead to defects in the resulting solution.
DR
Feasible: Each requirement must be implementable within the existing infrastructure,
with the existing budget, timeline and resources.
Mandatory: Although requirements can be prioritized, individual requirements should,
by their very nature, be mandatory (i.e., required). Ensure each requirement is essential
to the success of the solution and that each requirement is needed by a stakeholder(s).
Modifiable: Related requirements must be grouped together in order for requirements
to be modifiable. This characteristic is exhibited by a logical structuring of the
requirements.
Unambiguous: Individual requirements must never be unclear. An unambiguous
requirement can only be interpreted one way; whereas, ambiguous requirements can be
misinterpreted. Ensure that each requirement is clear and concise (i.e., without
unnecessary information). Avoid potentially ambiguous words such as it, they, these,
fast, slow, easy, adequate, new, old.
Testable: Each requirement should be testable—that is, it must be possible to design a
test that can be used to determine if a solution has met the requirement.
.2
Verification Activities
Verification activities are typically performed iteratively throughout the requirements
analysis process. Verification activities include:
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Check for completeness within each requirements model. For example, data flow
diagrams should have all components and lines labeled, and all lines should have
arrows indicating direction.
•
Compare each prepared requirements model (textual or graphical) against all other
prepared requirements models. Check for elements that are mentioned in one
model that are missing in the other models. Also check that the same component is
referenced the same way in all models – for example, use of consistent language,
e.g., ‘customer’ and ‘client’. Resolve all discrepancies, correcting terminology, or
adding/deleting components as needed.
•
Make sure all variations to the documented processes have been identified and
documented. Pay particular attention to common branching logic – e.g. ‘none
found’, ‘one and only one found’ or ‘more than one found’.
•
Make sure all triggers and outcomes have been accounted for in all variations.
•
Make sure the document(s) is written in business terms to ensure understanding by
the business users. Use the same business terms that were used by the business
users during the requirements elicitation process (see Elicitation KA).
•
Add business examples where appropriate for clarification.
•
Make sure all requirements contribute to the stated project scope. If not, eliminate
the requirement or modify the project scope through formal change control
processes.
•
Make sure the documents conform to the standards of the organization in terms of
layout, content sections, modeling standards and terminology.
DR
AF
T
•
•
Add formatting elements to the document, as needed – i.e. table of contents,
headers and footers, page number, etc.
•
Submit the document to peer reviews. Peer reviews include both other members of
the requirements team, as well as members of the solution development team.
•
Submit the document for review by the original participants of the requirements
elicitation process.
•
Submit the document for review to the approving stakeholders.
Note that the above steps do not need to be done in the exact sequence indicated – they
may be resequenced and repeated as needed. For example, it’s possible that after a
review, items will be identified that require additional work. Once those items have
been addressed, another peer review may be desirable. Depending on the extent of the
change, it may also be necessary to recheck the information for completeness and
consistency.
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Techniques
.1
Checklists
Checklists are useful as a quality control technique. They may include a standard set of
quality elements that the business analyst or other reviewers use to validate the
requirements or be specifically developed to capture issues of concern to the project.
The purpose of a checklist is to ensure that items that the organization or project team
has determined are important are included in the final requirements deliverable(s), or
that process steps that the organization or project team has determined must be
followed are addressed. Checklists may also be developed on a project basis to help
ensure consistency of approach and outcomes, particularly on large projects where
multiple sub-project teams are working.
.2
Structured Walkthrough
See the technique as described in Solution Assessment and Validation.
6.6.6
Stakeholders
AF
T
The business analyst, in conjunction with the business and technical SMEs, will have
the primary responsibility for determining that this task has been completed.
Problematic requirements may be discovered by other stakeholders during
requirements communication. Therefore, virtually all project stakeholders are involved
in this task:
Each stakeholder is defined in Glossary and used consistently across the KAs. List of
stakeholders:
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Regulator:
•
Sponsor
DR
•
6.6.7
Output
The output of this task is a verified set of requirements.
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6.7
Task: Validate Requirements
6.7.1
Purpose
187
The purpose of requirements validation is to ensure that all requirements support the
delivery of value to the business, fulfill its goals and objectives, and or meet a
stakeholder need.
6.7.2
Description
6.7.3
AF
T
Requirements validation occurs iteratively throughout the project. It is an ongoing
process to determine whether the progressively elaborated requirements, and later, the
design and development deliverables, continue to correctly align to the needs of the
customer. The business analyst continues to assess whether requirements have been
left out or solution components have been introduced that don’t align to the customer
need throughout the project. Validation reviews begin during requirements analysis
activities to determine whether the requirements are accurate and have the appropriate
level of detail needed for the design, development, and test phases. Validation continues
through user acceptance testing to confirm that the solution is complete and can be
delivered to the customer.
Input
Business Case: The business case describes the overall business objectives and
measurements that the solution is expected to deliver. To be valid, a requirement must
contribute directly or indirectly to the business case.
6.7.4
DR
Verified Requirements: Requirements need to be verified for validation to be
completed (if a requirement cannot be verified, it cannot be successfully implemented
and so cannot fill a business need), although validation activities may begin before
requirements are completely verified.
Elements
.1
Define Desired Outcomes
As requirements describe stakeholder needs, we can validate them by understanding
what the outcome will be for the stakeholder when their need is satisfied.
Implementation of the requirements as a whole must be sufficient to achieve that
desired future state for customers and users. A desired outcome is not a solution; it is
the business benefits provided by the solution. Desired business benefits are defined in
the business case (see Enterprise Analysis KA), and may include:
•
Create a new capability such as a new product or service, addressing a competitive
disadvantage, or creating a new competitive advantage
•
Improve revenue, by increasing sales or reducing cost
•
Increase customer satisfaction
•
Increase employee satisfaction
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Comply with new regulations
•
Improve safety
•
Reduce time to deliver a product or service
.2
188
Identify Assumptions
In many cases it may not be possible to prove that implementation of the requirement
will result in the desired benefit. If an organization is launching an unprecedented
product or service, it may be necessary to make assumptions about customer or
stakeholder response, as there are no similar previous experiences to rely on. In other
cases, it may be difficult or impossible to prove that a particular problem derives from a
identified root cause.
.3
Define Measurable Evaluation Criteria
.4
AF
T
While the forecasted business benefits are defined in the business case, the specific
measurement criteria and evaluation process may not have been included. Following
the definition of the benefits that will result from the implementation of a requirement,
it is necessary to define the evaluation criteria that will be used to evaluate how
successful the resulting change has been after the solution is deployed. (see the Metrics
and Reporting technique for information on the selection of appropriate criteria, and
the Evaluate Solution task for details on how this assessment is performed postimplementation).
Determine Dependencies for Benefits Realization
DR
Not all requirements contribute directly to the end result desired by the organization
and described in the business case. See Organize Requirements for the types of
relationships that might exist.
.5
Evaluate Alignment with Business Case
A requirement can be of value to a stakeholder and still not be a desirable part of a
solution. Ultimately, each requirement must be traceable to the objectives in the
business case, and should also minimize the opportunity cost of implementation.
Opportunity cost refers to the benefits that could have been achieved with any
investment. If a project team spends time and energy implementing a feature in a
software application, that effort cannot be applied towards additional testing, training
for the users, bug fixes, or other project work. That lost work represents the opportunity
cost of the decision. The opportunity cost of any decision is equal to the value of the
best alternative use of those resources. Conceptually, this is closely related to value
dependency (described in Organize Requirements). Therefore, a requirement that is not
aligned with the business case should be defined and approved in a separate business
case, or considered for removal from the solution scope.
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Techniques
.1
Structured Walkthrough
Review meetings are conducted to confirm whether the user or customer agrees that
their needs are met. Review meeting objectives include the following:
•
Confirm that the requirements accurately reflect the business and user need,
and are complete enough to proceed with downstream work processes
•
Identify inconsistencies between the documentation and needs of users or
customers
•
Determine whether cost and time is sufficient to achieve the product and
project objectives
.2
Feasibility Studies
AF
T
Feasibility studies to determine financial, technical, operational issues that prevent the
proposed solution from satisfying customer needs (see Enterprise Analysis KA for
details about feasibility studies).
.3
Acceptance Criteria
Acceptance criteria are the requirements that must be satisfied to achieve acceptance by
a stakeholder. These are described in further detail the techniques section of this
chapter, under User Acceptance Testing.
.4
Metrics and Reporting
DR
This technique describes how we select appropriate performance measures for a
solution, solution component, or requirement.
.5
Prototyping
Prototyping of product components is used to gain user agreement with the proposed
solution.
6.7.6
Stakeholders
Virtually all stakeholders are involved in or impacted by validation activities, including:
Each stakeholder is defined in Glossary and used consistently across the KAs. List of
stakeholders:
•
Business Analyst
•
Customer
•
Domain Subject Matter Expert (SME)
•
End User
•
Implementation Subject Matter Expert (SME)
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•
Operational Support
•
Project Manager
•
Quality Assurance.
•
Regulator:
•
Sponsor
190
Customer and end user reviews and prototyping will include users, customers, sponsors
and technical project team members. User acceptance testing will include users, subject
matter experts and the technical team. The sponsor is very interested in the outcomes
of validation activities.
Outputs
•
Validated Requirements
•
Evaluation Criteria
AF
T
6.7.7
6.8
Technique: Business Rules
6.8.1
Purpose
The purpose of modeling business rules is to accurately capture the details that define,
constrain, or enable business operations.
Description
DR
6.8.2
Business policies and business rules are the means to achieve goals and objectives.
Policies and rules direct and constrain the organization and operation of the business.
A business goal defines a state or condition the business must satisfy to reach its vision.
Example: Decrease losses of terminated accounts’ outstanding balances.
A business policy is a non-actionable directive that supports a business goal. Example:
Utilize collection agencies to recover funds.
A business rule is a specific, actionable, testable directive that is under the control of the
business and that supports a business policy. Example: When a terminated account has
an outstanding balance greater than $300 the account is turned over to a collection
agency.
A number of basic principles guide the business analyst when stating and managing
business rules. The business rules should be:
•
Stated in business terms to enable business experts to validate the rules;
•
Documented independently of how they will be enforced;
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•
Stated at the atomic level and in declarative format;
•
Separated from process(es) that the rule supports or constrains. A business rule is
not a process, and a process is not a business rule. An example:
•
o
Process: Determine account status.
o
Business Rule: An account that is delinquent for four billing periods is
considered a terminated account.
Maintained in such a manner that enables the business to monitor and adapt the
rules as the business changes.
Business rules supplement a number of other analysis artifacts such as use cases,
events, data entities, data relationships, and data attributes.
Particularly complex rules may be stated using a decision table.
Elements
AF
T
6.8.3
Different classes or categories of rules include:
.1
Term and Fact Model
Business rules require a set of defined terms and facts. These models are conceptually
similar to data models and are described as part of that technique. All business rules
must either specify a term or fact or operate on a defined term or fact.
Operative Rules
DR
.2
Operative rules are rules that the business chooses to enforce as a matter of policy. They
are intended to guide the actions of people working within the business. They may
oblige people to take certain actions, prevent people from taking actions, or prescribe
the conditions under which an action may be taken. By definition, it must be possible
for people to violate an operative rule, even if there are no circumstances under which
the business would approve of them doing so. An example of an operative rule is:
Design of a solution must not begin until the requirements have been verified and validated.
Because it is possible to violate an operative rule, further analysis may be conducted to
determine what kinds of sanctions should be imposed when a rule is violated, allow a
rule to be overridden (before or after the fact) or the circumstances when an exception
to a rule is appropriate. These may lead to the definition of additional rules.
.3
Structural Rules
Structural rules expand on the definitions established in the term and fact model. They
are intended to help determine when something is or is not true, or when things fall into
a specific category. They are expressed as rules, separate from the term and fact model,
because they describe categorizations that may change over time. Because they
structure the knowledge of the business, rather than the behavior of persons, they
cannot be violated (but they can be misapplied). An example of a structural rule is:
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A requirement is never considered valid if it has not been formally approved by the sponsor.
Structural rules may also describe how information may be inferred or calculated based
on other data available to the business. A calculation may be the result of the
application of many individual rules.
Inference rules can also be used to evaluate decisions during a process. For example:
A requirement is always considered to be invalid if it is traced from a requirement that has
been changed and it has not been reviewed since the change was made.
6.8.4
Usage Considerations
.1
Strengths
Analyzing and documenting business rules using the general principles cited above
yields higher quality rules.
.2
AF
T
The impact of changes to business rules can be assessed more easily when they are
documented separately from the processes they detail or the means that enforce the
rules.
Weaknesses
Business rules are one aspect of analysis. It is necessary to analyze the user
requirements the rules constrain or support to gain a comprehensive understanding of
the business needs.
6.9.1
Technique: Data Modeling
DR
6.9
Purpose
The purpose of a data model is to describe the structure and organization of data
needed to support a business area, and the rules and constraints associated with the
use of this data. It supports communication of information requirements between
Business Analysts and stakeholders, as well as between Business Analysts and solution
developers.
6.9.2
Description
A data model usually takes the form of a diagram supported by textual descriptions. It
visually represents the types of people, places, things and concepts that are important
to the business, as well as the significant business relationships among them.
In addition, though it is not always shown explicitly in the diagram, a data model
usually includes a detailed itemization of the required data elements and their
associated validation rules.
The traditional diagram type used for data modeling has been the Entity Relationship
Diagram (ERD). The UML Class Diagram, which models similar concepts, is also used
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frequently for data modeling. Other diagramming techniques, such as Object Role
Modeling, may also be used to prepare a data model.
.1
Variations
There are several distinct types of data models in use.
Class models are used in object-oriented analysis. They include entities (in the form of
classes or objects), the relationships between them, the attributes associated with each
entity, and the operations or methods that can be performed on a class.
Data dictionaries includes definitions of the data elements used in a system, their
meanings, allowable values, and so forth.
Entity-Relationship diagrams evolved from database models and follow the structure
and concepts described below.
6.9.3
AF
T
Term and Fact models are a variant on data models that are used for the definition of
business rules. A term is an entity or concept with a fixed and defined meaning to the
business, while a fact describes the relationships that exist between terms.
Elements
DR
The Entity Relationship Diagram fragment shown below illustrates the detail typically
found in a data model. Other diagramming techniques might represent some details
with a different symbol or with a different name for the same symbol.
The following elements are represented in the diagram:
.1
Entity
An entity is something of significance to the business being described, about which that
business needs data. The example shows the entities Customer and Account, each
represented by a rectangle and with the entity name shown at the top. If a Class
Diagram were used, a similar rectangle would represent a similar concept but would be
referred to as a Class.
.2
Relationship
Relationships are significant business associations between entities (or classes in a
Class Diagram). The example shows the relationships between Customer and Account
as a labeled and annotated line. The labels explain the nature of the relationship from
the perspective of each Entity, and the annotations at each end of the line indicate the
numerical constraints on the relationships. In an ERD these constraints are referred to
as the “cardinality” of the relationship. In a Class Diagram they are referred to as the
“multiplicity” of the relationship and are indicated by a different notation.
The possible permutations of minimum and maximum cardinality/multiplicity are:
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Zero or one
•
Zero or more
•
One and only one
•
One or more
194
Relationships define how information is used in the operation of the business, and
indicate the important linkages that need to be managed and maintained in the
solution.
.3
Attributes
An attribute (aka data element) defines a particular piece of information --how much
information can be captured in it, allowable values, the type of information etc. In
general, it is referred to as an attribute when it is a component of a larger entity and a
data element when it stands alone. Attributes have the following characteristics:
AF
T
Name: a unique name for the attribute.
Aliases: alternate names for the attribute used by various stakeholders.
Values/Meanings: a list of acceptable values for the attribute. This may be expressed as
an enumerated list or as a description of allowed formats for the data (including
information such as the number of characters). If the values are abbreviated this will
include an explanation of the meaning.
DR
Description: the definition of the data element in the context of the solution.
The example shows that the attributes Customer Number, Name, Address and Phone
Number are required for the entity Customer. The attributes Account Number, Current
Balance and Overdraft Limit are required for the entity Account.
.4
Unique Identifier
A unique identifier is the attribute (or combination of attributes) that uniquely identify
each occurrence of an Entity. The example shows that each Customer is identified by a
unique Customer Number, and that each Account is identified by a unique Account
Number.
.5
Metadata
Metadata is defined as “data about data”. Metadata describes the context, use, and
validity of business information. Thus, all the information in a data model may be
described as metadata.
.6
Conceptual, Logical & Physical Data Models
Business Analysts complete high-level data models to develop and communicate their
understanding of important business concepts, relationships and rules. These are called
conceptual data models.
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Business Analysts also complete detailed data models to communicate comprehensive
specifications of data requirements to solution developers. These are called logical
data models.
Database Designers may use logical data models prepared by Business Analysts as input
to the design and implementation of a database. These designs are called physical data
models, and represent the implementation of a solution in a specific technology
environment.
6.9.4
Usage Considerations
.1
Advantages
Data models offer the flexibility of different scales and different levels of description.
They are useful when prepared informally at a conceptual level, and also useful at a
detailed level as input to database design. They provide a consistent modeling approach
that supports the transition through planning, analysis, design and implementation.
.2
AF
T
Because they have a strong basis in mathematical concepts, data models are supported
by rigorous rules for correctness and completeness. This encourages accuracy in the
development of the models.
Disadvantages
Data models can be complex, and they deal with concepts that may be unfamiliar to
business users. If not properly presented, they can be difficult for users to understand
and relate to.
6.10
DR
Conceptual and logical data modeling is sometimes misunderstood to be a database
design activity, and consequently thought to be inappropriate as a business analysis
technique.
6.10.1
Technique: Event and State Modeling
Purpose
Events and states are analyzed to understand ‘when’ business activity is triggered and
the results of the activities. Identifying events and states is a way to clarify the scope of
the solution and distinguish planned events from unplanned events.
6.10.2
Description
An event is a change in the environment that triggers a response and produces a result.
A state is a defined condition of a data entity or a system component. A response to an
event may result in a change of the state. An event’s pre- and post-conditions may be
described in state terms. An example: the event ‘Client cancels project’ has a precondition of ‘Project is active’ and a post-condition of ‘Project is canceled’.
Modeling events and states is a means to discover, verify and validate requirements.
Subsequent analysis of the events and states results in details that may be documented
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in other models such as business rules, data requirements and behavior models (e.g.,
processes, activity diagrams, use cases).
6.10.3
Elements
.1
Events
An event defines dynamic behavior. An event may be classified as a:
Business Event – is initiated by a direct user, e.g., Client cancels project
•
Temporal Event – is initiated by the passing of time, e.g., Time to produce overdue projects report
•
Responses – the planned actions that execute when an event is triggered.
•
Precondition(s) – fact(s) that must be true when the event begins.
•
Post-condition(s) – fact(s) that must be true when the event is complete.
AF
T
•
Event Dependencies – when an event’s precondition is equivalent to another event’s
post-condition, the second event is dependent on the first event.
A simple table may be used to organize event details with columns for events,
responses, preconditions, post-conditions.
DR
The OMG/BPMN defines formal standards for modeling events from the perspective of
business processes and those related events that change the flow of a process. Event
modeling as described in this KA allows one to ‘discover’ events independently of a
process model. Of course such events may be traced back to business process models
and/or associated with scenarios, stories or use cases. (A scenario or story describes
instances of event execution. An event may be considered a trigger for a use case.)
.2
States
State modeling is valuable for exploring and understanding an event-rich, complex
topic. It may be an entity on an entity relationship diagram, or a system component
such as a user interface window.
States – The condition of a state is definable (e.g., glossary term). Additional details of
the state such as mandatory characteristics and relationships further describe the state.
For example, a Canceled Project must have a canceled date. A complex topic may have
more than one initial state and several intermediate and end states.
Transitions – A transition represents dynamic behavior that moves a topic from one
state to another. When analyzing both states and events, a transition traces to an event.
The State Diagram visualizes one topic’s states and its transitions from state to state.
An example: the State Diagram for the Project entity would show all the states of the
Project and the events that transition the Project from the ‘Proposed’ state to
‘Approved’ state and so on.
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There are many titles for the state diagram including State Machine Diagram, State
Transition Diagram, Entity Life Cycle Diagram. UML includes guidelines for modeling
states.
6.10.4
Usage Considerations
.1
Advantages
Business experts are inherently aware of the events and responses in their current work
environment.
Listing events and modeling their dependencies can be a quick, high-level way to clarify
the solution scope.
Events can be used early in the SDLC to prioritize and partition requirements.
AF
T
Events are method and methodology-neutral. One can choose any behavior model (e.g.,
activity diagrams, use cases, processes) to further analyze and define event and
response details,.
Typically business domain experts are intimately aware of life cycle states for their key
concerns. Helping them list and describe the states and then draw the allowable
transitions between states often uncovers missing data, control and behavioral
requirements and may be helpful to clarify confusing or even conflicting requirements.
.2
Disadvantages
DR
Notation for modeling event dependencies (pre & post-conditions) is not commonly
understood. This may be a handicap in adequately verifying the event dependencies.
Since state machine diagrams can be drawn very quickly by business experts, it is
important not to unintentionally expand the scope. Each state (and associated
transitions) should be validated with the business case to determine if it supports a
business need.
6.11
6.11.1
Technique: Indicators, Metrics and Reporting
Purpose
The purpose of indicators, metrics and reporting is to improve performance of
solutions, solution components and requirements.
6.11.2
Description
An indicator identifies a specific numerical measurement that indicates progress
toward achieving an impact, output, activity or input. A metric is a quantifiable level of
an indicator that an organization wants to accomplish at a specific point in time.
Reporting is the process of informing stakeholders of metrics of indicators in specified
formats at specified intervals.
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Metrics and reporting are key components of monitoring and evaluation, which is the
generic of numerous terms – scorecard, balanced scorecard, dashboard, performance
management, business intelligence, and others. Monitoring is a continuous process of
collecting data to determine how well a solution is implemented compared to expected
results. Evaluation can be described as the systematic and objective assessment of a
solution to determine its status and efficacy in meeting objectives over time, and to
identify ways to improve the solution to better meet objectives.
6.11.3
Elements
Monitoring and evaluation systems vary depending on their context and include the
factors to measure, indicators, metrics, the system structure, data storage, and
reporting.
.1
The Context
AF
T
With sufficient resources, one can monitor and evaluate any solution and most other
aspects of an organization. The context in which one measures is important. Examples
of context are a strategic plan, policy implementation, program, project, software
application, department, or enterprise-wide function. Good candidates for monitoring
and evaluation include:
A problem that persists for a long period and needs a solution
•
Newly implemented solutions
•
Solutions where actual performance diverges significantly from planned
performance
DR
•
.2
•
Similar solutions that experience different outcomes
•
Pilot solutions under consideration for expansion
•
Important resource allocation decisions
Factors To Measure
Whatever the context, the top priorities of a monitoring and evaluation system are the
intended goals and impacts of a solution. Without impact, there is no genuine reason
for implementing a solution. Measuring that which supports achievement of goals –
inputs, activities, and outputs – is also important. Inputs are resources such as money,
people, and plans. Activities are the tasks and steps to transform inputs to outputs.
Outputs are the products or services developed by completion of activities. Effective
outputs cause impact or achievement of goals. To illustrate, consider a training
program. The trainers, materials and facilities are inputs. The instruction and
coursework are activities. A student’s completion of a training course is an output. The
increased skill, marketability and salary of the student are the impacts. Good
monitoring and evaluation will emphasize goals and impact, but also help stakeholders
understand the status of each of these four factors and how they inter-relate (“roll-up”).
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Indicators
An indicator identifies a specific numerical measurement that indicates progress
toward achieving the impact, output, activity, or input. Each goal has at least one
indicator to measure it properly, but some may require several. Select enough
indicators to answer the question, “Has the goal been achieved?” Each output, activity,
and input also has at least one indicator. A good indicator has five characteristics:
•
Clear: precise and unambiguous
•
Relevant: appropriate to the factor
•
Economic: available at reasonable cost
•
Adequate: provides a sufficient basis to assess performance
•
Monitorable: can be independently validated
AF
T
In addition to these characteristics, stakeholder interests are also important. Certain
indicators may help stakeholders perform or improve more than others. It is uses to
address these stakeholder needs as long as the indicators fit the characteristics
described above. Over time, weaknesses in some indicators can be identified and
improved.
DR
Often, factors to measure reflect concerns, problems or deficiencies. However, good
indicators are positive expressions of improvement. Therefore, concerns need to be
transformed into positive measures. For example, a concern about lack of Oracle
database skills could be transformed into, “X% of our department’s programmers will be
certified in Oracle by the end of Year Z.” In this example, the indicator answers four
questions – who, where, how much and by when? Each indicator should address these
four basic questions.
Not all factors can be measured directly. Proxies can be used when data for direct
indicators are not available or feasible to collect at regular intervals. For example,
absent a survey of client satisfaction, an organization might use the proportion of all
contracts renewed as an indicator.
As noted earlier, a good indicator is economical. In establishing an indicator, its source,
method of collection, collector, and the cost, frequency and difficulty of collection need
to be considered. Secondary sources of data are most economical, but to meet the other
characteristics of a good indicator, primary research, such as surveys, interviews or
direct observations may be necessary. The method of data collection is the key driver of
a monitoring, evaluation and reporting system’s cost. Financial cost, number of data
collectors, training for data collectors, completion time, and response rates are key
elements in estimating costs.
.4
Metrics
Metrics are quantifiable levels of indicators that are measured at a specified point in
time. A target metric is the objective to be reached within a specified period.
Improvement is the difference between the baseline and the target. In setting a metric
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(usually one) for an indicator, it is important to understand clearly the baseline starting
point, resources that can be devoted to improving the factors covered by the indicator,
and political concerns. Good target metrics are neither too easy nor too ambitious, but
realistic. The more politically sensitive a target metric is, the more likely the pressures
to distort, subvert, or otherwise manipulate it in myriad ways. When determining
target metrics, it is useful to meet the five characteristics noted earlier while minimizing
exposure to political pressure.
A metric can be a specific point or a range. A range can be useful if the indicator is new.
The scope of time to reach the target metric can be multi-year to annual or quarterly, or
even more frequent, depending on the need. Realizing improvement takes time, so the
stakeholders may want to gauge the scope of time with appropriate patience.
.5
Structure
AF
T
Establishing a monitoring and evaluation system requires a data collection procedure, a
data analysis procedure, a reporting procedure, and collection of baseline data. The
data collection procedure covers units of analysis, sampling procedures, data collection
instruments to use, collection frequency, and responsibility for collection. The analysis
method specifies the procedures for conducting the analysis and the data consumer,
who may have strong interests in how the analysis is conducted. Reporting procedure
covers the report templates, recipients, frequency, and means of communication.
Baseline information is that data provided immediately before or at the beginning of a
period to measure. Baseline data is used to learn about recent performance and to
measure progress from that point forward. Using the procedures above, it needs to be
collected for each indicator, analyzed and reported.
DR
The monitoring and evaluation system needs to link impact, output, activity and input
indicators and, in doing so, span appropriate levels of an organization. All levels of an
organization – policy, program and project – need performance information.
Performance information also needs to flow horizontally. Therefore, an organization
needs to identify demand for performance information throughout the organization.
Stakeholders at each level and location need to understand the responsibility, source,
frequency, methodology, consumer, and reporter of the data collection and analysis.
Rarely is a system set up throughout an organization all at once. Most organizations
implement a system using a top-down approach, but bottom-up and pilot approaches
are also successfully used. Most organizations using the top-down approach build
down to the department level. Others go lower to create a more pervasive system. Very
large organizations and small organizations tend to prefer the pilot approach.
The approach and organization of the system will affect data quality. There are three
key factors in assessing the quality of indicators and their metrics – reliability, validity
and timeliness. Reliability is the extent to which the data collection approach is stable
and consistent across time and space. Certain parts of an organization may be new or
targeted for termination. Will they be reliable monitoring and evaluation stakeholders?
Validity is the extent to which data clearly and directly measure the performance the
organization intends to measure. An organization may accept a second-best indicator
due to economics. Over time, will the cost-benefit ratio support replacement of that
indicator with something better? Goals, inputs, activities and outputs also change. Is
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the indicator still valid in light of these changes? Timeliness is the fit of the frequency
and latency of data to management’s need for it. External environments and decisionmaker needs can change. Will the monitoring, evaluation and delivery of the data meet
these changing needs over time?
.6
Data Storage
Data produced by the process of establishing and operating a monitoring and
evaluation system needs to be stored to enable convenient access by appropriate
stakeholders. Such data includes the monitoring and evaluation system planning,
design, management and training; procedures for data collection, data analysis, and
reporting; indicators, baseline data, metrics, and reports. Typically, such information is
under configuration management
.7
Reporting
6.11.4
AF
T
The reporting procedures referenced above will help ensure that all get what they want
when and how it was promised. Pre-testing the monitoring and evaluation system
before reporting data to the stakeholders will safeguard the credibility of the system.
Many systems report the most meaningful data prominently, putting less important
information in appendices. Typically, reports compare the baseline, current metrics
and target metrics to each other, with calculations of the differences presented in both
absolute and relative terms. Trends are more credible and important than absolute
metrics. Visual presentations tend to be more effective than tables, particularly when
using qualitative text to explain the data.
Usage Considerations
Advantages
DR
.1
Establishing a monitoring and evaluation system enables stakeholders to understand
the extent to which a solution meets an objective, and how effective the inputs and
activities of developing the solution (output) were. With this information,
organizations can communicate success, reward achievement, win support, determine
cause and effect, improve solutions, terminate failures, reduce costs, enforce
compliance, and make decisions more quickly. Indicators, metrics and reporting also
facilitate organizational alignment, linking goals to objectives, supporting solutions,
underlying tasks, and resources.
Using a monitoring and evaluation system is most effective when there is leadership
and team commitment to implementing it. Implementing a monitoring and evaluation
system means accountability, and in most cases leadership commitment is required to
resolve differences between stakeholders. Therefore, leadership understanding of the
system and its maintenance needs will improve the chances of success. If goals or
intended impacts have not been adequately identified, the relevant managers need to
develop them before resources are expended to monitor and evaluate them.
Understanding the stakeholders involved – the measured, the measurers and their
management – is also important to success. Who are the stakeholders? What are their
interests? What are their motivations? What are their attitudes toward various goals,
objectives, strategies, policies, solutions and projects? What are the incentives and
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disincentives for supporting these? In light of stakeholder characteristics, how should
the system be established, maintained and utilized? Who is responsible for what?
Another prerequisite of effective usage of indicators, metrics and reporting is
understanding the capacity of an organization to design, establish, maintain and use
the system. To what extent are the appropriate data already collected, analyzed, and
reported? Which data? How is it collected? Who collects and analyzes it? How is it
reported to whom and when? Who uses it? For what? Does the collection, analysis,
reporting and use satisfy the organization’s needs?
.2
Disadvantages
AF
T
Depending on its purpose and scope, establishing a monitoring and evaluation system
can initially consume considerable resources before returns are realized. Significant
effort is also required to ensure the organization is committed to implementing a
system, to understand its stakeholders, and to understand and/or build the necessary
capacity. Often, an organization must develop appropriate data “from scratch.” Some
may also need to train personnel in the appropriate skills (statistics, information
technology, evaluation, and/or managerial). A system can impose significant
requirements on people’s time, and the lack of manpower and/or money to overcome
this obstacle can cause of failure.
Selecting indicators often involves trade-offs. It is tempting to select sub-standard
indicators that are supported by existing sources rather than expending resources to
support the best indicators. An organization may consider the consequences of making
decisions with sub-standard indicators before making this trade-off.
Technique: Non-Functional Requirements
DR
6.12
6.12.1
Purpose
The purpose of non-functional requirements is to describe the required qualities of a
system, such as its usability and performance characteristics. These supplement the
documentation of functional requirements which describe the behavior of the system.
6.12.2
Description
Non-functional requirements, also known as quality or supplementary requirements,
are typically documented in text using declarative statements such as:
•
Ninety percent of operators shall be able to use all the functionality of the
system after no more than six hours of training
•
The system shall provide 90% of responses in no more than 2 seconds
This documentation is presented as a part of the total set of requirements
documentation, often in a section, or a separate document.
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203
Elements
The following elements are usually included in the description of non-functional
requirements.
.1
Category
Non-functional requirements are usually organized into categories. Categorization
supports the discovery of non-functional requirements by providing a mental checklist
of characteristics to consider when performing requirements elicitation.
Different experts (e.g. Wiegers, Leffingwell & Widrig, Robertson & Robertson)
recommend different structures of categorization. The International Standards
Organization also provides a classification system for software qualities in its ISO 9126
standard.
.2
Measurement
6.12.4
AF
T
The definition of non-functional requirement should include an appropriate measure of
success for each one so that it can be adequately tested. Some non-functional
requirements may seem very subjective (e.g.” intuitive interface”) but careful thought
can usually provide an appropriate success measurement.
Usage Considerations
Business Analysts use non-functional requirements to document the qualities of a
system that are important to:
the user community, such as usability, learnability, reliability, etc.
•
the development community, such as scalability, maintainability, reusability,
etc.
DR
•
.1
Advantages
Success in meeting non-functional requirements will have a strong influence on
whether or not a system is well accepted by its users
.2
Disadvantages
Non-functional requirements are often more difficult to define than functional
requirements. Expectations regarding quality attributes will often be unspoken by
users.
6.13
Technique: Organizational Modeling
6.13.1
Purpose
Organizational modeling is used to describe the roles, responsibilities and reporting
structures that exist within an organization and to align those structures with the
organization’s goals. They break down the work performed by the organization into
smaller tasks performed by subunits of the organization, and describe how those
subunits co-ordinate the work they perform.
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Organizational models can support stakeholder identification (see Conduct
Stakeholder Analysis), as well as being developed as part of a solution design.
6.13.2
Description
The fundamental diagram used in organizational modeling is the org (organization)
chart. The org chart shows a functional decomposition of the organizational structure,
indicating the lines of reporting that exist between the executive decision-making body
of the organization and the employees.
There is no formal standard set for defining org charts, although there are certain
standard conventions that most org charts follow. The org chart shows:
Organizational Units, which may represent people, teams, departments, or
divisions based on the level of abstraction of the org chart. Frequently, an org
chart will mix organizational units, showing a mix of people, teams, and higher
level divisions.
•
Lines of Reporting, which trace accountability and control between
organizational units. A solid line typically denotes direct authority, while a
dotted line indicates information transfer. Lines of reporting visually depict the
span of control of a particular manager or organizational unit.
AF
T
•
DR
Span of control is the number of employees a manager is directly (or indirectly)
responsible for. If the span of control of a particular manager is too great, the manager
will not be able to effectively track what people are doing, what their actual job
responsibilities are, what training or development they require, and so forth. The
appropriate span of control for a manager is determined by variables including the
complexity of the work performed by an employee, the range of different tasks that
employees may carry out, the reporting systems available to the manager, and the
corporate culture.
The span of control will determine much of the organizational structure. For instance, if
a division has twenty staff and a manager in that division can effectively oversee
between 5-7 people, then the division will need to be organized into three teams, each of
which will have a manager who reports to the division head. If the span of control
remains the same, the division can grow to a maximum of fifty employees before
another layer of management will have to be added.
However, team size is not the only consideration in designing an organizational model,
and may not even be the primary consideration. Organization structures are set up in
order to ensure that employees with similar responsibilities report into a single group,
so that their incentives and instructions are clear and to ensure that the manager of the
group has the appropriate expertise to effectively manage a team.
Naturally, there are many different ways that an organization may define “similar
responsibilities”. Typically, the division is made using some combination of functional
similarity (grouping together employees who do similar work) and market served
(grouping together employees with similar internal or external customers).
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The degree of functional specialization within the firm and the extent to which the
organizational structure is market-oriented (that is, built around delivering a particular
product or service, delivering a project, or servicing a particular customer type)
determines its organizational configuration.
There is no perfect or ideal configuration that applies to all organizations. The selection
of a configuration should be based on an understanding of the degree to which an
organization can benefit from increased specialization and regularization of work, as
well as the complexity and diversity of its customer base.
6.13.3
Elements
.1
Functions
.2
AF
T
Functionally-oriented organizations group together staff based on shared skills or areas
of expertise. They are generally adopted in order to encourage a standardization of
work or processes within the organization. Functional organizations enable better cost
management and reduce duplication of work, but are prone to develop communication
and cross-functional co-ordination problems (known informally as “silos”).
Markets
DR
The term “market-oriented” covers a number of different possible ways of organizing an
enterprise, all of which are based on serving a particular customer segment rather than
on the common skills or expertise of the employee. Market-oriented structures enable
the organization to be better oriented with the needs of its customers, but are prone to
develop inconsistencies in how work is performed and to duplicate work in multiple
divisions.
Customer segment-focused organizations are oriented around serving clearly defined
market segments. This kind of organizational structure is common when the
organization serves a number of markets with distinct needs and expectations, even
where those markets can use similar products or services.
Geographically-focused organizations are oriented around regional divisions. This
kind of organizational structure is common when dealing with markets where local
conditions create substantially different conditions (due to regulation, local tastes, and
so forth) or where goods and services are likely to be purchased or used locally.
Process-focused organizations are oriented around the operation of end to end
processes. This kind of organizational structure is common for internal support services
and for customer-facing services, especially when the organization has a limited
number of different services it provides, where the organization can benefit significantly
from improving execution of those processes, and where there are clearly defined
interfaces between processes.
Product-focused organizations are oriented around the delivery of individual products
or services. This kind of organizational structure is common when there are few
synergies between the products, possibly because they are marketed to different types
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of customers, use different distribution channels, or require different skills and
competencies for their development.
Project-focused organizations are organized around the delivery of unique projects.
This kind of organizational structure is common where the primary purpose of the
organization is project execution.
.3
Configurations
There are four major types of organizational configurations. In sufficiently large
organizations, different groups or divisions may have different configurations. For
example, a large organization may be divided into several different functional
specialties (including IT) but the IT department may be divided based on the market
served (i.e. with cross-functional teams supporting different systems).
AF
T
A simple configuration is low on both market orientation and functional specialization
and is most common in smaller enterprises. In this model, all people on the team report
into a single executive or leader, and have no clearly defined responsibilities. Tasks and
work are assigned as needed. It maximizes flexibility but minimizes specialization and
requires a high degree of co-operation between workers to be effective.
A functional configuration is low on market orientation and high on functional
specialization. In this model, each executive is responsible for staff performing a certain
type of work. Those staff have clearly defined roles and responsibilities. It maximizes
the ability to effectively perform work and develop efficiencies, but minimizes
responsiveness to changing conditions and frequently encounters communication
challenges across functional areas.
DR
A divisional configuration is low on specialization and high on market orientation. In
this model, each executive runs a portion of the organization as if it was its own
business, with responsibility for all the work necessary to deliver a product or service, or
meet the needs of an identified customer group. Tasks and responsibilities for staff are
likely to be clearly defined within each organizational unit, but there may not be
consistency in the definition of similar roles in different units. It maximizes the ability of
the organization to deliver each product or service, but minimizes cross-functional
efficiencies and co-ordination.
A matrix configuration is high on market orientation and functional specialization. In
this model, there are separate managers for each functional area and for each product,
service, or customer group. Staff typically report into a line manager, who is responsible
for the performance of a type of work and for identifying opportunities for efficiency in
the work, and to a market (product/service/project/etc.) manager, who is responsible
for managing the product, service, etc. across multiple functional areas. The matrix
organization can combine the strengths (or the weaknesses) of the functional and
divisional configurations.
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207
Usage Considerations
.1
Advantages
Organizational models are one of the few types of models any organization is likely to
have in place. Even the simplest organization has to define the reporting structures that
exist among team members in order to co-ordinate work between its people.
.2
Disadvantages
The primary limitation of organizational modeling is not the technique itself, but rather
the implications of including organizational redesign in the scope of a project.
Organizational redesigns are likely to be highly contentious and require significant
executive support in order to be successful.
A secondary problem is that informal lines of authority and communication that are
not reflected in the org chart are almost certain to exist within the organization.
Technique: Scenarios and Use Cases
6.14.1
Purpose
AF
T
6.14
Scenarios and use cases are written to describe how an actor interacts with a solution to
accomplish one or more of that actor’s goals, or to respond to an event. They are
intended to be easily understood by all stakeholders.
6.14.2
Description
DR
While the terms scenario and use case are often used loosely, a scenario is generally
understood to describe just one way that an actor can accomplish a particular goal,
while a use case commonly describes all the possible outcomes of an attempt to
accomplish a particular goal that the solution will support.
Scenarios are written as a series of steps performed by actors or by the solution that
enable an actor to achieve a goal. A use case describes several scenarios in the form of
primary and alternate flows. The primary or basic flow represents the simplest way to
accomplish the goal of the use case. Special circumstances and exceptions that result in
a failure to complete the goal of the use case are documented in alternate flows.
No formal standard exists for the use case description. This section describes elements
common to most variants of the technique.
6.14.3
Elements
.1
Name
The scenario use case must have a unique name within the project. The use case name
should describe which goal or event it will deal with, and generally includes a verb
(describing the action taken by the actor) and a noun (describing what is being done or
the target of the action).
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Actor(s)
An actor is any person, system, or event external to the system under design that
interacts with that system through a use case. Each actor must be given a unique name
that represents the role they play in interactions with the system. This role does not
necessarily correspond with a job title and should never be the name of an actual
person. A particular person may fill the roles of multiple actors over time.
Caution: A temporal event is rarely modeled as an actor initiating a use case. The most
common use of a temporal event as an actor is the use of a “Time” actor to trigger a use
case that must be executed based on the calendar date (such as an end-of-month or
end-of-year reconciliation of a system). Some authors recommend against this use.
.3
Preconditions
A precondition is any fact that the solution can assume to be true when the use case
begins. This may include textual statements, such as “user must be logged in” or “Item
must exist in catalogue”, or the successful completion of other use cases.
Flow of Events
AF
T
.4
DR
Describes what the actor and the system do during the execution of the scenario or use
case. Most use case descriptions will further break this down into a basic flow
(representing the shortest successful path that accomplishes the goal of the primary
actor) and a number of alternate flows that show more complex logic or error handling.
If a circumstance still allows the actor to successfully achieve the goal of the use case, it
is defined as an alternative. If the circumstance does not allow the actor to achieve their
goal, the use case is considered unsuccessful and is terminated. This is defined as an
exception.
.5
Postconditions
Any fact that must be true when the use case is complete. The postconditions must be
true for all possible flows through the use case. The Business Analyst may distinguish
between postconditions that are true for successful and unsuccessful executions of the
use case.
.6
Relationships
Scenarios rarely include formalized relationships. There are two associations that may
exist between use cases:
Extend: allows for the insertion of additional behavior into a use case. The use case that
is being extended must be completely functional in its own right. The extending use
case does not need to be complete without reference to the base use case. An extension
is functionally identical to an alternate flow, but is captured in a separate use case for
convenience.
Include: allows for the base use case to make use of functionality present in another use
case. The included use case does not need to be a complete use case in its own right, if it
is not directly triggered by an actor. This relationship is most often used when some
shared functionality is required by several use cases.
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Use Case Diagram
The Use Case Diagram is a Scoping Diagram (q.v.) that shows how the use cases and
actors involved in a solution interact. The format and elements of the Use Case Diagram
are defined as part of the UML standard maintained by the Object Management Group.
6.14.4
Usage Considerations
.1
Advantages
Use cases are good at clarifying scope and providing a high-level understanding of user
behavioral goals, normal situations, alternatives or exception situations. They provide a
graphical or textual listing that combines the who i.e., actor with the what i.e.,
behavioral requirements and the why i.e., use case goals.
.2
AF
T
They are the basis for other more detailed analysis types, user interface design and
prototyping activities. Use cases share most of the characteristics of a process/flow
model and may be used to describe dynamic characteristics of a solution—they have
been placed with the usage models largely because they focus on the system from the
perspective of an actor.
Disadvantages
The most significant challenge in documenting use cases is to make sure that they are
structured and written consistently.
They are less effective for data intensive projects that are better captured through
requirements statements or decision matrixes.
DR
Business analysts are frequently tempted to describe most or all system behavior using
use cases. Because many requirements can be captured in the use case format, there is
frequently a temptation to use them to capture all requirements, even in cases where it
is difficult to apply them. There is often a temptation to list every possible business rule
or condition which may result in unmanageably large use cases.
Use cases do not have any features to support integration or the discovery of common
elements, which is one of the reasons they are usually written at the highest-level of
abstraction that’s appropriate for the project. Additional analysis and design is usually
required after use case definition is complete to identify these common elements.
6.15
Technique: Process Modeling
6.15.1
Purpose
Processes are how people within an organization collaborate in order to accomplish a
goal. Essentially everything we do in an organization involves or contributes to some
type of process. When we first started performing a process it was probably very
efficient. Over time, however, as the process was changed to accommodate new users,
add different functionality, and work with new customers that process has probably
become very inefficient. At the very least, there are probably a number of new
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components in the process and it is probably not completely understood by all of the
people that use or interact with it.
There are a number of important characteristics that a process usually has:
•
Collaboration between multiple people or groups;
•
Takes place over a period of time;
•
Can be accomplished in more than one way;
•
Is repeatable.
Process models are used to:
Develop and document an understanding of the current workflows included in
a process.
•
Identify opportunities for process improvement, and recommend alternative
solutions.
•
Understand and communicate complex business logic.
•
Create documentation for user manuals and training.
•
Create documentation for regulatory purposes such as SOX, Bill 198, Basel II,
etc.
•
Automate processes within BPM suites.
DR
AF
T
•
Process modeling is used to obtain a graphical representation of a current or future
process within an organization. A model may be used, at its highest level, to obtain a
general understanding of a process or, at a lower level as a basis for simulation so that
the process can be made as efficient as possible.
Process modeling is usually the first step in understanding your processes and
eventually to automating them. Modeling the process can take from a few hours to
many months or even years to map out all of the processes within an organization. The
main purpose of this is to improve the efficiency of the processes within the
organization.
6.15.2
Description
A process model is a visual representation of the sequential flow and control logic of a
set of related activities or actions.
A process is initiated by an event in the business domain, such as a sale of a product to a
customer, a request for information by a senior executive, or a failure to complete a
transaction. Events may be actions taken by a person, rules which cause action to be
taken, or simply the passage of a period of time. The process model may involve manual
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intervention, be completely automated, or a combination thereof. The process is
complete when the objective or the goal of the process is achieved or completed.
Simple processes may involve more than one functional area or be completely
contained within a functional area whereas more complex or higher level processes are
more likely to cross many functional areas or departments. It is in this situation where
process modeling achieves the most benefits.
AF
T
Process models range from very low tech as in the case of “brown paper” modeling to
mid-range as in the use of a drawing product such as Visio® or Smart Draw® through to
very high tech products used in many of the Business Process Management Suites
(BPMS) available. These models can be very high level as in the case of an end to end
process or very low level wherein they include details of the process such as time, cost,
and responsibility of individual tasks to mention just a few. If the model is used as part
of a BPMS then it may be a tool employed by the business users to actually change how
the process is executed within a software package such as an ERP (Enterprise Resource
Planning) CRM (Customer Relationship Management) package, or any other legacy
system through the use of more sophisticated software such as an Enterprise Service
Bus (ESB) or Service Oriented Architecture (SOA).
The audience for process modeling ranges from users of the process, to process and
business analysts, to team members all the way up to and including senior management
as well as all of the stakeholders. Make up of the audience varies depending on the level
of the process being modeled. Ideally, different individuals are involved as the level of
the process decreases from senior management at the end to end process down to the
actual users at the lowest process level.
Standards
DR
.1
There are a number of standards that may be observed when doing business process
modeling and which ones you observe depends on the purpose of the model and the
software package you are using to create the models if, in fact, you are using one.
The most basic standard for process modeling is BPMN which stands for Business
Process Modeling Notation. This notation is managed by the OMG (Object Management
Group) and is the most widely accepted notation for business modeling.
BPEL which stands for Business Process Execution Language is a standard approved by
OASIS (Organization for the Advancement of Structured Information Standards). BPEL
is an XML (Extensible Markup Language) that allows the execution of business
processes that have been mapped in a modeling package.
IDEF is a series of notations developed by the U.S. Department of Defense for software
development. IDEF3 is the notation used for processes. It depicts a process as a set of
linked activities, and shows the inputs and outputs used by each activity.
6.15.3
Elements
.1
Model Notation
Process models typically contain some or all of the following key elements:
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Activities
The individual steps or pieces of work that must be completed in order to execute the
business process. An activity is a relatively abstract concept in process definition.
Flow
Indicate the direction of the step by step sequence of the workflow. In general, diagrams
are drawn from top to bottom or in the direction of reading to show the passage of time.
Decisions
Forks where the flow of work proceeds in two or more mutually exclusive flows and,
optionally, where separate flows merge together.
Events
Events are discussed in detail under Event/State Model. Events trigger some kind of
process behavior, including the creation of a process,
AF
T
Roles
Roles in processes are more or less conceptually identical to their use in use cases. That
is, a role represents a type of person or group.
Swimlanes and Pools
Swimlanes are horizontal or vertical sections of a process model that show which
activities are performed by a particular role. When the flow of work crosses the
boundary of a swimlane, responsibility for that work then passes to another person or
group within the organization.
DR
A pool represents an organizational boundary. It may include a number of swimlanes.
Commonly, a process will include one pool for the customer and a second pool for the
organization, although it is possible for a process to include any number of pools.
Terminal Points
Terminal points represent the beginning or end of a process or process flow. A terminal
point generally represents some kind of event that is visible to the organization or
outside of it.
Split and Merge
A split causes the process to divide into multiple flows, each of which can execute
concurrently.
.2
Process Types
Process may be defined in many different ways but the most common breakdown is into
these three types: Management, Core, and Supporting.
Management Processes
A management process is one which is more strategic in nature as opposed to more
operational ones which include core and support types of processes. They tend to be
more of a planning or controlling nature than core to the business.
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Core Processes
A core process is a process that directly supports the organization’s business. Most core
processes are unique to the domain. Core processes are frequently unique either to the
enterprise or to the business in which it operates and are generally viewed as a source of
competitive advantage.
Supporting Processes
Support processes are those processes that are executed by those parts of the
organizational structure that are not functionally unique to the domain (see the
Fundamentals KA).
.3
Process Improvement
6.15.4
AF
T
The initial purpose of process mapping is to gain visibility into processes that have
probably changed so much over the life of the organization that the original process is
not recognizable when compared to its current version. The end purpose of process
mapping is to enable the people involved to ensure that the process is as efficient and
cost effective as it could be. Ideally it should also be agile so that the process can be
quickly changed to react to changing business needs. We also consider the use of
simulations to be able to perform what if analysis on the process to help establish the
best process while taking into account time and cost figures.
Usage Considerations
The modeling method employed depends on many factors not the least of which are
the:
Size and extent of the modeling exercise
DR
•
•
Complexity of the processes involved
•
Level of knowledge of the team in process modeling techniques
•
Budget allocated
•
Time frame for the project
•
Final use for the model(s)
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Chapter 7: Solution Assessment and Validation
7.1
Introduction
7.1.1
Knowledge Area Definition and Scope
Solution Assessment and Validation describes the business analysis tasks that are
performed in order to ensure that solutions meet the business need and to facilitate
their successful implementation. A solution will consist of one or more components,
such as business processes, organizational structures, training, and software
applications.
AF
T
There may be many alternatives for solving the business problem that has been
presented. The BA works with the implementation SMEs to review and analyze each
possible option and together they recommend the best solution option to the sponsor
and stakeholders based on all of the constraints, priorities, and risks. The BA assesses
each solution proposal for requirements coverage and allocates requirements to each
solution component.
Some solution examples include:
Utilize existing software/hardware that already is available within the
organization
•
Purchase or lease software/hardware from an outside organization (commonly
referred to as a vendor)
DR
•
•
Design and develop custom software
•
Add resources to the business or make organizational changes
•
Change the business procedures/processes
•
Combinations of the above.
Once a solution option has been agreed upon or chosen, the business analyst assists the
solution providers with detailed design work. This may include splitting a large project
into phases/iterations, reviewing technical design deliverables, and participating in the
design of solution components to maximize the value delivered by the component.
Although the business analyst rarely implements a change alone, he or she must be
involved in reviewing, selecting, and/or designing the solution. The BA knows the
business environment and can assess how each proposed solution would impact that
environment.
The solution team is responsible for delivering the architecture or design of a solution
with the business analyst as a key contributor. The business analyst is responsible for
validating whether a proposed solution meets the business needs.
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Solution assessment and validation tasks require the business analyst to work closely
with implementation SMEs and quality assurance. The business analyst is responsible
for ensuring that these stakeholders fully understand the solution requirements and
that implementation decisions made by these stakeholders are aligned with the relevant
business and stakeholder requirements.
.1
Interaction with Implementation SMEs
The implementation SMEs, typically under the direction of a project manager, will be
responsible for designing and implementing potential solutions. The implementation
SMEs will provide specialist expertise on the design and construction of the solution
components that fall outside the scope of business analysis.
AF
T
The business analyst will work with the implementation SMEs to identify possible
options, evaluating each option and selecting the best option for each situation. To
create a solution, the team members work together to identify solution options,
evaluate the options and make a recommendation, and acquire/build the solution and
deploy it to the business area.
In some cases, the same person may act as a business analyst and take on one or more
Implementation SME roles.
While it is not possible to define a listing of implementation SME roles that is
appropriate for all initiatives, some of the most common overlapping roles are
discussed below.
DR
Change Management Professionals
Change management professionals are responsible for facilitating acceptance and
adoption of new solutions and overcoming resistance to change. Areas of expertise
among change management professionals include industry and cultural expertise. Good
change management can help to create advocates for change within an organization.
Developers/Software Engineers
Developers are responsible for the construction of software applications. Areas of
expertise among developers or software engineers include particular languages or
application components. Good software development practices will significantly reduce
the cost to build an application, the predictability of the development process, and the
ability to implement changes in the functionality supported by an application.
System Architects
System architects are responsible for dividing a software application into components
and defining the interactions between them. Areas of expertise among system
architects include understanding of methodologies and of solutions offered by specific
vendors. Good system architecture will facilitate rapid development of solutions and
reuse of components in other solutions.
Trainers
Trainers are responsible for ensuring that the end users of a solution understand how it
is supposed to work and are able to use it effectively. Areas of expertise among trainers
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may include classroom-based or online education. Good training will facilitate
acceptance and adoption of a solution.
Usability Professionals
Usability professionals are responsible for the external interaction design of technology
solutions and for making those solutions as simple to use as is feasible. Areas of
expertise among usability professionals include user interface designers and
information architects. Good usability will increase productivity, customer satisfaction,
and reduce cost in solution maintenance and training.
.2
Interaction with Quality Assurance
Quality assurance is responsible for determining how to verify that the solution meets
the solution requirements defined by the business analyst, as well as conducting the
verification process.
AF
T
As with implementation SME roles, it is commonplace for a business analysis
practitioner to be assigned responsibility for the quality assurance role as well. Even
where this is not the case, the quality assurance team is likely to seek out assistance
from business analysts in performing QA activities. The BA may help their business
stakeholders with user acceptance testing, defect reporting and resolution.
QA tasks which may involve the business analyst include:
Assist with the development of a solution test plan
•
Review the solution test plan
•
Review the results of developer run unit tests
•
Facilitate the generation of test case ideas
•
Review test cases and procedures for compliance with requirements
•
Trace requirements to test cases to assure complete coverage
•
Plan and assist business stakeholders with User Acceptance Testing
DR
•
The BA must be aware of the type of quality assurance standards and procedures that
apply to the solution (regardless of whether the standards or procedures are imposed
from inside or outside of the organization). The BA will work with a quality professional
within the organization to understand the impact of the organizational quality
assurance standards and procedures.
When the solution contains a software component, the typical software testing life cycle
will be used. This life cycle generally includes unit testing, integration testing, system
testing, and user acceptance testing (UAT). The BA should have a working knowledge of
the software testing process in order to verify that the process sufficiently mitigates
associated business risks.
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The BA must assist the quality control professional in identifying the context,
boundaries, and success criteria of the requirements to be tested. The quality
professional may choose various strategies, top-down, bottom-up, black box, or
simulation. The test design could be fault-error handling, fault-tolerant level, or
boundary values.
•
Business requirements
•
Deployed solution performance metrics
•
Identified risks and constraints
•
Organizational RFI/RFQ/RFP standards (if available and applicable)
•
Prioritized, approved business requirements
•
Quality Assurance Plans
•
Solution (Constructed or Deployed)
•
Solution design
•
Solution options
•
Validated requirements
AF
T
7.1.3
Input
Tasks
DR
7.1.2
7.2 Assess proposed solution
7.3 Allocate requirements
7.4 Determine organizational readiness
7.5 Determine transition requirements
7.6 Validate solution
7.7 Evaluate solution performance
7.1.4
Techniques
•
Business Rules
•
Cost/benefit analysis
•
Coverage matrix
•
Data Model
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Focus group
•
Force Field Analysis
•
Observation
•
Organizational Model
•
Prioritization Techniques (see Requirements Analysis KA)
•
Process Model
•
Retrospective
•
RFI, RFQ, RFP
•
Root Cause Analysis
•
Stakeholder Impact Analysis
•
Survey
•
Traceability
•
User Acceptance Testing
Output
AF
T
Defect and Issue Reporting
DR
7.1.5
•
218
•
Allocated Requirements
•
Identified defects
•
Mitigating actions
•
Organizational Readiness Assessment
•
Solution Design Assessment
•
Solution performance assessment
•
Solution Selection Recommendation
•
Transition Requirements
•
Validated solution
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7.2
Task: Assess Proposed Solution
7.2.1
Purpose
219
To assess proposed solutions in order to determine the value they provide to the
business, and make recommendations regarding solution selection.
7.2.2
Description
Solution assessment involves reviewing a proposed and designed solution to determine
whether it meets the business need and the value it delivers. It may be performed on a
single solution or to compare multiple proposed solutions against the requirements.
When assessing a single solution, the business analyst is generally attempting to
determine whether the solution delivers enough business value to justify its
implementation. When assessing multiple solutions, the business analyst has the
additional goal of attempting to determine which solution delivers the greatest business
value.
AF
T
The business analyst will be involved in developing the design/architecture strategy for
the project. The business analyst will begin to map out a strategy with the business
stakeholders and solution team to develop at least one, and possibly many, alternate
solutions.
The solution team will consider the characteristics of the user when designing the
solution features, and there may be tradeoffs with the business users that the business
analyst will be responsible to present on behalf of the technicians.
DR
Alternative solutions may be offered depending on the complexities of the features that
must be implemented. The solution team may need to propose variations (for example:
how the screens will interface with the end user and how much data can be presented
on a screen). Usability requirements may need to be negotiated. The design is a
collaborative effort, and tradeoffs between the desires of the stakeholders and the
solution team always occur, with the business analyst playing a key role in the
communication and negotiation. The business analyst also adds value by analyzing the
pros and cons of each alternative against the requirements. It is important that all
agreed upon changes in the solution design are signed off by the stakeholders and
documented by the business analyst to ensure that that all parties understand and are
in agreement with the solution.
Sometimes a solution option, or part of a solution, is available for purchase from a
vendor or a solution may be built by an outside or outsourced vendor. BAs are often
responsible for supporting the Request for Information (RFI), Request for Quote (RFQ)
and/or Request for Proposal (RFP) process. These documents are commonly used by
organizations looking for detailed information and proposals from outside vendors. The
RFI, RFQ or RFP will contain a description of the requirements, giving the proposed
vendors the opportunity to describe how their solution will best meet the requirements.
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Input
In order to begin identifying and evaluating any solution, the Business Analyst must
have:
7.2.4
•
Prioritized, approved business requirements
•
Solution options
•
Identified risks and constraints
•
Organizational RFI/RFQ/RFP standards (if available and applicable)
Elements
.1
Solution Selection and Recommendation
AF
T
Solution assessment criteria are the set of requirements that will be used to choose
between multiple solutions, or the minimal set of requirements that must be met in
order for a particular solution to be worth implementing.
DR
Assessment criteria are used to compare a set of possible solutions to determine which
solution best meets the business need. The comparison is generally made using a matrix
which rates each solution to determine how well it meets the acceptance criterion. This
may be done with a simple score (e.g. rating from 1–5) or a description of the different
characteristics. When relatively few criteria are involved, it may be easiest to discard all
of the criteria where the solutions perform at roughly the same level and focus on those
criteria where substantive differences exist. Those differences then form the basis for
the decision.
For more complex decision problems, a scoring system must be used, with sets of
related requirements assigned a weighting to reflect their relative importance to the
organization. Each solution is scored and the top-rated solution or solutions are then
investigated in greater detail.
Solution options will sometimes offer benefits (whether potential or actual) to the
organization above and beyond those identified in the requirements or the original
business case. In many cases, these benefits are not of immediate value to the
organization but have the potential to provide future value, as the solution may support
the rapid development or implementation of new capabilities (for example, a COTS IT
solution may have features that the organization anticipates using in the future).
.2
Assessing Solution Providers
When solutions are in part provided by third parties (who may be involved in design,
construction, implementation, or maintenance of the solution or solution components),
or when the solution is outsourced, it may be necessary to define requirements to
understand what the business needs are in regard to the involvement of that third party.
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Non-functional requirements can be used to define the service levels expected of a third
party. In addition, there are a number of other requirements that may help to define the
relationship:
Knowledge and expertise: A common reason for using third-party vendors is that
they can provide knowledge and expertise not available within the business. In such
cases, the business analyst should consider whether that expertise will need to be
transferred to the business and how capable the provider is of performing that transfer.
It may be desirable to target vendors with particular expertise in methodologies or
technologies, with the goal of having that expertise transferred to people within the
enterprise.
AF
T
Licensing and pricing models: In cases when a solution or solution component is
purchased from or outsourced to an outside vendor, the licensing or pricing model will
need to be taken into account. In many cases, solutions that offer similar functionality
may differ greatly in their licensing models, requiring an analysis of different usage
scenarios to determine which option will provide the best cost/benefit ration under the
scenarios likely to be encountered in the enterprise.
Terms and conditions: Are the services provided by the vendor to be temporary or
permanent? The business analyst should investigate whether the vendor’s licensing
terms and technology infrastructure are likely to present challenges if the organization
later chooses to transition to another provider. There may also be considerations
regarding the vendor’s use of and responsibility for protecting the integrity of the
organization’s confidential data.
DR
Vendor experience and reputation: The vendor’s experience with other customers
may provide valuable information on how likely it is that they will be able to meet their
contractual and non-contractual obligations. The vendor can also be evaluated for
conformance and compliance with external relevant standards for quality, security, and
professionalism.
Vendor stability: How certain is it that the vendor will be able to provide the required
services in the future? It may be necessary to request that steps be taken to ensure that
there are no risks if the vendor encounters financial difficulties and that it will be
possible to maintain and enhance the solution even if the vendor’s situation changes
radically.
7.2.5
Techniques
•
Coverage matrix
•
RFI, RFQ, RFP
•
Traceability
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Stakeholders
Domain Subject Matter Expert (SME): Provide guidance in the selection process of a
solution. May need to include SMEs in procurement, drafting of legal agreements, and
in negotiation.
Implementation Subject Matter Expert (SME): Input from SMEs with specific
expertise in the solutions under consideration is valuable in the evaluation process.
Interoperability with the organization’s enterprise architecture needs to be considered.
Operational Support: Provide information on technical constraints that may limit the
solutions that can be implemented.
Project Manager: Will need to plan and manage the selection process.
7.2.7
Output
AF
T
Sponsor: Approves the expenditure of resources to purchase a solution and approve
the final recommendation.
Solution Design Assessment: Assess the value delivered by each proposed solution.
Solution Selection Recommendation: A recommendation of the best solution should
be made, or a recommendation to terminate the initiative should be given (if no
solution delivers enough value to justify being implemented).
Task: Allocate Requirements
7.3.1
Purpose
DR
7.3
Allocate requirements among releases and/or solutions components. This task ensures
that the possible release options are designed in a way to maximize the possible
business value given the options and alternatives generated by the design team.
7.3.2
Description
Requirements allocation consists of determining when and by which solution
component a requirement will be fulfilled. The business value of a requirement will be
affected by when and how it is met, and the business analyst must assess the tradeoffs
between alternatives in order to maximize the benefits and minimize the costs
associated with the delivery of solution functionality.
Requirements can be allocated between solution components, between releases, or
both. Requirements allocation typically begins early in the project lifecycle (as soon as
the Solution Approach can be determined; see Enterprise Analysis) and will continue to
be performed until all valid requirements are allocated.
If the solution is being constructed and delivered in an iterative fashion, it is likely that
high-level requirements will be allocated early on, and detailed analysis of only the
requirements relevant to the current release will be performed. In addition, the
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allocation will be revisited and changed as solution development proceeds and
additional requirements are identified or known requirements are changed.
As mentioned above, requirements allocation cannot be performed until the broad
outlines of a solution have been defined. Every solution will be composed of a set of
solution components, which may include:
•
Policies and rules that govern the operation of the solution
•
People who operate and maintain the solution
•
The organizational design supported by the solution
•
The software applications used in the solution
AF
T
During solution design, it may become necessary to revisit the initial allocation of
functionality between components as the cost to implement each component becomes
better understood. Business analysis must be performed to determine which
reallocations have the best cost/benefit ratio.
In addition, the project team may decide to deploy the solution in phases instead of all
at once. There are many factors that will guide these decisions, such as the overall
project budget, the need to implement a solution, or parts of the solution, by a certain
date, resource constraints, training schedule and ability for the business to absorb
changes within a defined timeframe.
7.3.3
DR
The business analyst facilitates the decisions about which requirements will be
included in each release/phase/iteration of the project. The BA works with business
stakeholders and the solution team to allocate the requirements to the solution by
reviewing the list of requirements and making sure that each requirement is adequately
addressed by the solution.
Input
Solution design: Requirements allocation requires that solution design have
progressed to the point where it is possible to determine which components will be
included in the solution design and for the implementation SMEs to assess the difficulty
of designing and implementing those components. It does not complete until the
solution design is finalized.
Validated requirements: While some preliminary requirements allocation can be done
using requirements that are still in development, it cannot be finished until the solution
requirements are validated (note that an invalid requirement is one that by definition is
out of scope of the solution). These validated requirements can be high-or low-level.
Constraints on the solution implementation may require that requirements be revised.
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Elements
.1
Solution Components
The majority of business solutions (with the exception of minor changes or upgrades to
an existing solution) will be composed of multiple components. Each component
implements a subset of the requirements. Which requirements are implemented by
each solution component will be a primary driver of the cost to implement the solution
and the benefits delivered by it.
The most common recommendation that a business analyst will be required to make
regarding the allocation of requirements is whether a requirement can be most
effectively fulfilled manually or through automation. At lower levels, the business
analyst may be required to assess the impact of allocating requirements to specific
components within each category.
Example:
AF
T
To be sure that a proposed solution meets requirements the business analyst assesses
requirements coverage. This means that the analyst looks at each requirement and
makes sure that it is covered by the solution design. This assessment may be done using
techniques such as traceability or quality function deployment.
Business process
Where implemented in solution?
2.1 Receive an order
Web pages for Place order
DR
Interface to inventory system
As costs and effort are described for each solution component, the business analyst will
need to assess whether the allocation represents the most effective tradeoff between
delivery options. Considerations are likely to include:
•
Available resources: The solution providers will be faced with limitations
regarding the amount of requirements they can implement based on the
allocated resources. In some instances, the business analyst may be able to
develop a business case that justifies additional investment.
•
Constraints on the solution: Regulatory requirements or business decisions
may require that certain requirements be handled manually or automatically,
or that certain requirements must be prioritized above all others.
•
Dependencies between requirements: Some capabilities may in and of
themselves provide limited value to the organization, but need to be delivered
in order to support other high-value requirements.
•
Interaction between components: As requirements are allocated, it will also
be necessary to understand how these components will interact. It is likely that
additional requirements will be identified governing the interaction between
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components. Interface Analysis can be conducted to simplify these interactions
and reduce the chances for problems to arise.
.2
Releases
The stakeholders will consider several factors when deciding which requirements will
be allocated to each release. Some example factors are:
•
Business priority
•
Implementation difficulty
•
Risk level
•
Technical priority
•
Cost estimate
DR
AF
T
When the system architect reviews the requirements package, the designer in turn will
rate the complexity to implement a solution, and may also designate a technical priority
for the requirement. There are many factors related to constraints in the technical
environment that will dictate if the requirement must be rated high priority by the
solution team, even though the business may have rated it low. Upon reviewing the
requirements documentation at this stage, the Implementation SMEs may even identify
new requirements that must be implemented due to environmental factors or technical
constraints. At this stage, the system architect may also be able to provide a projected
cost estimate to implement a solution as well as some possible ways to do it (e.g., on line
screen, report, interface to another external system, etc.). The system architect will
provide this information to the business analyst to include in the design plan.
Once business and technical priorities are established the project team can map out the
release plan. This plan will describe the number of design phases the project will entail
as well as a mapping of each requirement to the appropriate design phase.
In some cases, the solution provider may choose to deliver one or more “internal
releases”, which allow quality assurance activities to be carried out on an interim
version of the solution. The planning and deployment of such releases should be left to
the discretion of the solution providers, as the business is not impacted by these
releases.
Use Case
Business priority
Technical priority
Estimated cost
Release/phase/iteration
Record customer
profile
Place order
High
Medium
Low
1
High
High
High
2
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Techniques
.1
Prioritization Techniques
Prioritization techniques can be used to determine how to allocate requirements
among releases. See Prioritize Requirements for details.
.2
Traceability
Traceability techniques are used to demonstrate the link from business, stakeholder, or
solution requirements to solution components.
7.3.6
Stakeholders
Domain Subject Matter Expert (SME): May have recommendations regarding the set
of requirements to be allocated to a solution component or to a release.
AF
T
End User: May require a minimal defined set of requirements to be implemented before
a release can be accepted. If requirements are reallocated to a manual process, they may
experience a negative impact. End users may have concerns about the frequency of
change that they are prepared to accept and will need to be aware of reallocations.
Implementation Subject Matter Expert (SME): Will be responsible for the design
and construction of some or all solution components and the estimation of the work
required.
DR
Operational Support: Will be impacted by the allocation of requirements to
components and releases and need to be aware of when and where requirements are
allocated.
Project Manager: Responsible for the work being done by the project team and will
need to participate in requirements allocation in order to manage the project scope and
work. May need to request reallocation in order to reduce project work or seek
adjustments to the scope or budget of the project.
Quality Assurance: Responsible for verifying releases and solution components and
will therefore need to know how requirements have been allocated.
Sponsor: Responsible for funding of the project and therefore required to approve the
allocation of requirements to components and releases based on the recommendation
of the business analyst and the project team.
7.3.7
Output
Allocated Requirements to each release and each solution component.
7.4
Task: Determine Organizational Readiness
7.4.1
Purpose
Determine organizational readiness to effectively operate the new solution.
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227
Description
The business analyst works together with the solution team to ensure the success of the
implementation. The business needs for a smooth implementation are determined by
assessing the organizations readiness to accept/utilize the solution. Implementation
needs are documented as implementation requirements.
Organizational readiness assessment determines the impact of the solution on the
business area(s) involved. Changes to software may require changes to employee
procedures and/or employee job descriptions. Implementation requirements may
include data conversion or migration. These changes must be identified and planned.
In addition, communicating the impact of the solution to the business stakeholders is a
critical task for the business analyst. The BA understands the solution design and the
business requirements and, as such, is in the unique position to clearly articulate how
the solution will impact the business area and other stakeholders.
AF
T
Solution impact communication is a component of the overall requirements
communications plan. [See the Requirements Planning and Monitoring KA – Create a
Requirements Communication Plan] The requirements communications plan should
include session time to discuss impacts required as a result of solution implementation.
Effective assessment of the organization readiness and impact communication should
result a smooth transition and increased user satisfaction with the deployed solution.
DR
During any solution implementation, there are tasks that require coordination so that
the end product is implemented successfully. Tasks will be of a combination of
technical and non-technical nature. Business analysts facilitate a smooth
implementation from the perspective of the business stakeholders. The BA will perform
business impact analysis to identify changes that impact the business processes.
Business stakeholders will evaluate the success of the solution (or project) partially on
how well it is implemented. Effective documentation and communication of solution
impacts throughout the project assists in enabling necessary change management
practices and training requirements for solution implementation.
Communicating the solution impacts is an ongoing and iterative activity done in
parallel with (but not limited to) tasks described in:
•
Requirements Analysis
•
Requirements Communication and Management
•
Elsewhere in Solution Assessment and Validation
Solution impacts can be both positive and negative. Success factors rely heavily on the
ability to identify and effectively communicate the impacts to all stakeholders.
The business analyst may be responsible for all task deliverables or may partner with
another group.
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Input
Business Architecture: Describes the organizational units that will be impacted by the
solution.
Solution Scope: used to determine which components of the business architecture are
impacted. Depending on when this task is performed, this may represent a planned
scope or an actual designed and constructed solution.
7.4.4
Elements
The business analyst will work with the solution team to ensure the solution is
successfully implemented. An implementation plan should be created to outline the
steps to be taken and the order in which they must be executed. This plan may consist
of both technical and non-technical tasks. It is the business analyst’s responsibility to
work with the solution team to make sure the implementation is carried out according
to the plan.
AF
T
Dependencies/sequencing. If it is important that certain aspects of the
implementation are carried out in a particular order, the business analyst must make
sure that all interdependent items are accounted for and in the right sequence in the
plan.
DR
External considerations. There may be organizational restraints or policies that must
be adhered to in any implementation. The business analyst must be aware of these and
incorporate them into the plan. Items such as freeze periods for implementation,
general company policies, and any phased-in activities must also be considered.
Business Analysts assist in planning the timing of the implementation within a business
cycle to cause minimal disruption of business activities.
End user training. The business analyst may develop training material and conduct
training for users on the new software features.
Software support. The business analyst may assist with the training/support of Help
Desk employees to prepare them to support the deployed solution. The BA may also
assist with the transition of the solution software to the maintenance team.
In order to identify impacts the business analyst should understand what changes will
occur in the business area, technical infrastructure or processes and how these affect
other business units or operations.
All project stakeholders may have some integration or impact with solution
implementation and should be addressed as part of the communications plan. [e.g., new
software installed in your HR division could impact an Employee Service Center who
uses the same programs to access employee information and therefore communication
and training should include specifics for all groups who might interface with the new
system.]
There are many ways to assess the readiness for and impact of a change. The Business
Analyst should use the technique that works best for the business stakeholders and the
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solution to be implemented. These techniques help to form the basis for your solution
impact communications.
Example considerations for impact analysis:
Cultural or organizational impact
•
Strategic impact
•
Business impact (operational, processes, procedures, rules, etc.)
•
Technical impact (systems, maintenance, usability, etc.)
•
Utilize bug or defect databases to assist in identifying problems and engaging the
change management process prior to implementation
•
Apply human factor analysis to identify and communicate usability impacts
•
Simulate impacts (both positive and negative) for stakeholder awareness (e.g., HR
adds new employees to gauge impact)
AF
T
•
The BA may also use AS IS process documentation to help assess the business changes
that will be required.
7.4.5
Techniques
.1
Force Field Analysis
DR
Force field analysis is a graphical method for depicting the forces that support and
oppose a change. It involves identifying the forces that support and oppose a change,
depicting them on opposite sides of a line, and then estimating the strength of each
force in order to assess which set of forces are stronger. Once this analysis is complete,
the next step is to look for ways to strengthen the forces that support the desired
outcome or generate new forces.
.2
Stakeholder Impact Analysis
As described in the Requirements Elicitation KA and Requirements Analysis KA, the
business analyst will have uncovered and documented information regarding the user
profiles which identify the characteristics of the end users who will interact with the
system. Review stakeholder analysis as described in the Business Analysis Planning and
Monitoring KA. The stakeholder listing will be used as input to guide the solution
design. Some of the characteristics captured that the Business Analyst and the solution
team must consider are the following:
Functions – What processes involve the stakeholder?
Location – Where are the end users located, are there global implications?
Access/authority – What is each user class allowed to do? What data are they allowed
to see/update?
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Number – How many end users are there in the class?
Tasks – What tasks are performed by the user class?
Concerns – What is this group’s usability requirements, preferences, and their
proficiency level regarding interaction with computer systems.
7.4.6
Stakeholders
Domain Subject Matter Expert (SME): Provides information on the likely impact to
stakeholders and the capabilities of the enterprise.
Implementation Subject Matter Expert (SME): Supplies information on the skills and
capabilities necessary to successfully operate the new solution.
Operational Support: Provides information on their ability to support the operation of
the solution.
AF
T
Project Manager: Requires the organizational readiness assessment to determine if
additional project work is required for a successful implementation of the solution.
Sponsor: Authorizes and champions action to resolve problems identified in the
organizational readiness assessment.
7.4.7
Output
7.5
7.5.1
DR
Organizational Readiness Assessment: Used to identify transition requirements. May
lead to revisions in solution or project scope.
Task: Define Transition Requirements
Purpose
To define requirements for capabilities needed to transition to a new solution.
7.5.2
Description
In most cases, a solution is implemented into an enterprise in order to enhance or
replace an existing solution. During the transition period (while the new solution is
implemented), the enterprise may need to operate both solutions in parallel, move
information between the new and old solution, conduct training to enable stakeholders
to effectively operate the new solution, and so forth. In addition to developing the
solution itself, the implementation team is likely to have to develop additional
capabilities to support this transition.
These capabilities are requirements, as stakeholders need to be able to make this
transition successfully—but they are different in nature from other kinds of
requirements, as they cannot be defined until a solution has been designed. These
requirements also have a different lifespan from other types of requirements, as they
remain relevant only during the transition period between solutions. They are
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accordingly defined as transition requirements to distinguish them from other levels of
requirement.
Transition requirements are elicited, analyzed, managed, and communicated by
performing the same tasks as for other requirements. The difference is not in the
methods for defining them, but in the inputs, the nature of transition requirements, and
in that they cease to be relevant once the existing solution is eliminated.
In instances where there is no existing solution, and the new solution is adding a
entirely new and unprecedented capability to the enterprise rather than extending and
improving an existing capability, then transition requirements do not need to be
developed (they are included in the solution requirements).
7.5.3
Input
AF
T
Deployed Solution: The deployed (or existing) solution will be investigated to
understand what needs to be transitioned to the new solution. It may be necessary to
elicit a description of the capabilities of the solution and perform some analysis tasks in
order to ensure that current capabilities are fully understood.
Solution Design: The design for the new solution must be in place to allow the business
analyst to assess the transition.
Organizational Readiness Assessment: Used to identify areas where the organization
needs to add new capabilities to manage and operate the new solution.
7.5.4
Elements
DR
The business analyst must examine the solution currently in place to identify features
that are implemented in a substantially different fashion in the new solution,
information that needs to be transferred to the new solution, and other areas of
significant change. In terms of the elements of a business model, likely sources of
transition requirements include:
Data. The actual data and metadata managed by the old system needs to be evaluated
to determine whether it must be archived or transferred to the new solution. Rules for
conversion of this information will need to be developed, and business rules may need
to be defined to ensure that the new solution interprets the converted data correctly.
Ongoing work. It is likely that work will be ongoing in the old version of the solution at
the time the new version is implemented. Plans for transferring this ongoing work must
be developed. Options may include finishing existing work using the current solution
and starting new work in the new solution, holding the processing of new work for a
period of time, or converting all work at the time of implementation.
It is common while performing this task to identify functions in the existing solution
that cannot be performed by the new solution. These newly identified requirements fall
outside the scope of this task and are treated as any other requirement.
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Organizational change. The BA may be involved in developing a process for managing
the people side of change related to the solution. Organizational change management
generally refers to a process and set of tools for managing change at an organizational
level. The BA may help to develop recommendations for changes to the organizational
structure or personnel, as job functions may change significantly as the result of
decision or work being automated, new information may be made available to
stakeholders, and new skills may be required to operate the solution.
7.5.5
Techniques
.1
Business Rules
Additional business rules may be defined to assist in migrating data, or to manage work
migrated from the existing solution (as it is possible that different rules may apply
depending on when the work was performed).
.2
Data Model
.3
AF
T
Physical data models of the existing and new solutions will be compared to enable a
mapping between the two.
Process Models and Organizational Models
These may be analyzed to identify the differences between the existing and new
solutions.
7.5.6
Stakeholders
DR
Customer: May experience a negative impact during the transition based on the
transfer of ongoing work, or if information is incorrectly transferred. The goal in
transition is generally to reduce or minimize this impact.
Domain Subject Matter Expert (SME): Will provide information on the existing
solution and assist in verification and validation of the transition requirements.
End User: If the existing and the new solution are both in use for a period, they will
need to know how to co-ordinate between them.
Implementation Subject Matter Expert (SME): Will be the source for many of the
transition requirements.
Operational Support: May be impacted by the need to operate two solutions
simultaneously.
Project Manager: Will need to plan for the work required to implement the transition
requirements. This may impact the project scope.
Regulator: May require that records of the transition requirements and process be
retained for long-term review and compliance with regulations.
Quality Assurance: Will verify that the transition has been performed correctly,
including the development of test plans.
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Sponsor: Will need to be informed of the potential impact of the transition on the costs
and benefits of the new solution.
7.5.7
Output
Transition requirements. See Glossary.
7.6
Task: Validate Solution
7.6.1
Purpose
Validate that a constructed solution meets the business need and determine the most
appropriate response to identified defects.
7.6.2
Description
Solution validation is the business analysis work required to ensure that a delivered
solution meets the business needs on an ongoing basis. It has four major components:
Define acceptance criteria for the solution
•
Investigate the cause of defects in the solution
•
Assess the impact of defects
•
Recommend resolutions of defects
AF
T
•
DR
Of these four, the first only occurs before a solution or solution component is
implemented. The others may occur before or after implementation.
The business analyst validates that the solution will meet the requirements and provide
business value to the business stakeholders. Problems that are identified during this
validation will be reported and prioritized for correction (defect reporting). When a
problem is identified with the solution (i.e. a failure to meet a requirement whether or
not the requirement was correctly specified) the business analyst will be able to help the
team determine the most appropriate action.
The definition of quality varies from organization to organization. Quality may be
defined as “the solution meets the approved requirements” or it may be defined as “the
solution behaves as the users expect it to”. Whatever the definition of quality that has
been agreed upon by the team, the BA works with quality professionals to assure that
the solution satisfies this requirement. Assisting the business stakeholders with UAT
has derived the maximum customer/client/stakeholder satisfaction.
To seek a perfect solution that meets all the quality criteria is often an impossible task.
The team will use a risk-based approach during the quality process in order to meet
project golden triangle: delivery according to schedule, within budget, and meeting the
required quality standard. Business Analysts are a critical resource to QA because BAs
review all quality deliverables (i.e. test plans, test cases, test procedures) to assure their
consistency with requirements.
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As discussed elsewhere in the BABOK, there is a distinction between validation and
verification. Solution verification, also referred to as quality assurance or (in the context
of software) as testing, falls outside of the scope of the discipline of business analysis.
7.6.3
Input
Constructed Solution: Validation can only be performed against a solution that has
been built to ensure that it is meeting the business need. The solution may or may not
be in actual use by the enterprise.
Prioritized and validated requirements: The priorities are needed to determine
which requirements are candidates for acceptance criteria. The requirements are used
to determine whether outputs of the solution fall within acceptable parameters.
Quality Assurance Plans: QA plans may be reviewed to ensure that the planned set of
QA activities will sufficiently assure the organization that the solution is in
conformance with the requirements.
Elements
.1
AF
T
7.6.4
Define Acceptance Criteria
The definition of acceptance criteria requires that the business analyst:
Determine the minimal set of requirements that must be implemented into a
solution or solution component before it can be used effectively by the business.
•
Assess whether the quality assurance plans for that solution or solution
component sufficiently address the risk of defects in the solution going
undetected.
DR
•
Requirements prioritization is a necessary precursor to defining acceptance criteria.
The business analyst will use the prioritized requirements and the solution design to
determine the necessary performance levels for the solution and its components to
ensure that those requirements are met.
Once those criteria are defined, quality assurance will develop appropriate quality
assurance plans to assess whether the solution and its components meet them. The
business analyst must assess those plans to ensure that the tested scenarios provide
enough information on the performance of the solution to ensure an acceptable level of
risk to the business.
.2
Investigate Defective Solution Outputs
When evaluating a solution, we identify defects in the solution by looking at cases where
the outputs from the solution are below an acceptable level of quality. First, it is
necessary to define what is considered to be a “defective” output. For example, a
requirement might be considered to be “defective” if it is changed more than once
before it is implemented, or if it is rejected by reviewers after the second round of
reviews. Once this is defined, the next step is to determine how many defective outputs
are considered acceptable to the business. In practice, it is rarely if ever possible to
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eliminate all defects. Common applications of this principle include measures of system
uptime, time to resolve an identified defect, and other work where the results can be
clearly quantified.
When it can be determined that the solution is consistently producing defective
outputs, root cause analysis should be performed in order to identify the cause of the
problem.
.3
Assess Business Impact of Defects and Issues
When defects are identified, the business analyst must review the defect to determine
the likely impact it will have on the operation of the organization. This requires
determining the severity of the defect, the probability of the occurrence of the defect,
the severity of the business impact, and the capacity of the business to absorb the
impact of the defects. The business analyst may be required to identify which defects
must be resolved and which can be mitigated through workarounds or other
approaches.
Recommend Measures to Mitigate Impact
AF
T
.4
If a defect cannot be resolved in a timeframe that is acceptable from a business
perspective (due to complexity, because the cause cannot be identified, because it is not
a sufficiently high priority, or for any other reason) measures to mitigate it must be
identified. These may include additional quality control checks, new manual processes,
removal of support for certain exception cases, or other measures.
7.6.5
Techniques
Root Cause Analysis
DR
.1
Root cause analysis techniques are used to ensure that the underlying reason for a
defect is identified, rather than simply correcting the output (which may be a symptom
of a deeper underlying problem).
.2
User Acceptance Testing
User acceptance testing is an approach to software application testing that focuses on
testing to ensure that acceptance criteria are met and that the application meets the
usability needs of the people who will work with it.
.3
Defect and Issue Reporting
This technique is used to track identified defects to ensure that they are resolved.
7.6.6
Stakeholders
Domain Subject Matter Expert (SME): Will provide input into the development of
business acceptance criteria.
End User: May assist in the development of business acceptance criteria and
participate in acceptance testing.
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Implementation Subject Matter Expert (SME): Will support the validation process,
correct identified defects, and participate in the defect prioritization and resolution
process.
Operational Support: Will support the deployment of defect resolutions.
Project Manager: Responsible for co-ordination of work between the parties involved
in the validation process.
Quality Assurance: Will develop and execute test plans based on the requirements and
on the acceptance criteria.
Regulator: May review the results of acceptance testing and require that records be
kept regarding the process and outcomes.
Sponsor: The sponsor must approve the acceptance of the solution.
Output
AF
T
7.6.7
•
Validated solution
•
Identified defects
•
Mitigating actions
Task: Evaluate Solution Performance
7.7.1
Purpose
DR
7.7
To assess the value of solution in use within an organization to understand the value
they deliver and identify opportunities for improvement.
7.7.2
Description
Solution evaluation involves investigating how a solution is actually used after it is
deployed to the business, and assessing the impact it has had, both positive and
negative. It may also be referred to as post-implementation assessment.
There are two different perspectives that can be relevant to solution evaluation. A
solution may have been implemented in order to accomplish a well-defined set of
business goals and objectives. In this case, evaluation consists largely of evaluating how
well the solution meets those goals and objectives. It is also possible, especially if a
solution has been in use for some time, that no clear set of goals and objectives are
available, or that there are no agreed-to performance metrics for the solution. In this
instance, a business analysis effort may be required to define the goals, objectives, and
metrics that the solution should be measured against.
In either case, it is likely that the solution will have been adapted and modified by
stakeholders over time in order to resolve problems that have occurred or to allow new
uses of the solution. In order to properly evaluate the solution, it is also necessary to
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understand where this has occurred and assess the benefit that these changes bring to
the organization.
In order to accomplish this task, the business analyst must:
7.7.3
•
Measure the performance of the system against its defined performance metrics
•
Assess the qualitative benefits and drawbacks of the solution
•
Assess the constraints that the current solution imposes on the business
Input
Business Requirements. The performance of the solution will be measured against the
business requirements that have been defined. Without clear business requirements it
is impossible to effectively assess the solution’s performance, since there are no goals
that it is supposed to meet.
AF
T
Deployed Solution: This task cannot be performed until the solution is in actual use.
Deployed Solution Performance Metrics: These represent the criteria by which the
performance of the solution is to be assessed. They may be quantitative (measures of
time, volume, revenue, errors found, or other information for which hard numbers are
available) or qualitative (user or customer satisfaction, recommendations, or other
measures which summarize the opinion of stakeholders).
Elements
DR
7.7.4
.1
Assess Value Delivered By Solution
The business analyst must gather the actual metrics that describe the performance of
the solution, using the defined metrics. The solution may have the capacity to generate
reports on some or all of the defined metrics, but where it does not, it will be necessary
to gather qualitative and quantitative performance information.
Significant underperformance against a defined metric needs to be investigated to
determine the root cause. If the root cause is a factor that is potentially under the
control of the enterprise, addressing it may become a business need.
Significant overperformance against a metric also should be investigated. It may
indicate that resources devoted to the solution can be used elsewhere, or that the value
of the solution to the business was underestimated. It is likely that that there are lessons
that can be learned and applied elsewhere.
.2
Assess Solution Metrics
In some cases, it is possible that the performance of a solution will be considered
excellent, based on the defined performance metrics for that solution, but the business
goals and objectives that those metrics are supposed to support is not being met. When
this happens, it likely means that the metrics themselves are the problem. An analysis
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effort to identify and define the correct metrics, including modification of the solution
to support those metrics, may be required.
.3
Solution Replacement or Elimination
Eventually, it will be necessary to consider the replacement of a solution or solution
component. This may occur because an IT system or other technology component has
reached the end of its useful life, services are being insourced or outsourced, the
solution is not fulfilling the business goals set for it, or any number of other reasons.
The Enterprise Analysis KA describes the tasks involved in building a business case for
implementing a new solution or solution component. Issues that may impact the
replacement or elimination decision may include:
Ongoing cost vs. initial investment: It is common for the existing solution to have
increasing costs over time, while alternatives have a higher investment cost up front
but lower maintenance costs.
•
Opportunity cost: Replacement of an existing solution is unlikely to produce high
initial returns on investment (as it will likely replicate existing capabilities, at least
initially, rather than create many new ones). As the effort to develop a replacement
will pull resources away from other initiatives the organization may be considering,
the potential benefits from those initiatives need to be considered to determine if
they are greater than the benefit of replacement (this is generally not a
consideration when considering elimination).
•
Necessity: Most solution components have a limited lifespan (due to obsolescence,
changing market conditions, and other causes). After a certain point in the lifecycle
it will become impossible to maintain the existing component.
DR
AF
T
•
•
7.7.5
Sunk Cost: Sunk cost is a psychological phenomenon that may make it difficult for
stakeholders to objectively assess the rationale for replacement or elimination,
especially in the late stages of an implementation or shortly after it is completed.
Sunk cost describes the money and effort already spent on an initiative. There is a
tendency for people to feel that replacement or elimination cannot be justified
based on the amount already spent on a solution. As this investment cannot be
recovered, it is effectively irrelevant when considering future action. Decisions
should be based on the future investment required and the future benefits that can
be gained.
Techniques
.1
Cost/benefit analysis
A cost/benefit analysis is typically used to determine the financial impact of the
solution on the organization. While critical, it is important to ensure that non-financial
costs (including opportunity cost) and benefits are evaluated.
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239
Focus Group
A focus group is a useful technique to gain a detailed qualitative understanding of the
value of a solution to a group of stakeholders. It can be used to uncover new
information beyond the scope of previously defined metrics.
.3
Observation
Observation allows a business analyst to see how a solution actually operates, and may
reveal aspects of the solution that are not being reported.
.4
Retrospective
Retrospectives are used by team members to understand how their work is performing
and to assess opportunities for improvement.
.5
Survey
7.7.6
AF
T
A survey enables gathering quantitative or qualitative information from large numbers
of stakeholders. If a survey is properly designed, and is responded to by a statistically
significant and representative sample of the stakeholder population, it will accurately
reflect the opinions of the entire population. Surveys are not especially effective at
eliciting unexpected information.
Stakeholders
Domain Subject Matter Expert (SME): May provide recommendations for
improvements.
DR
End User: responsible for the day-to-day operation of the solution and a major source
of information on problems or defects.
Operational Support: Will be involved in monitoring the performance and
effectiveness of a solution or its components.
Regulator: May have requirements regarding the performance of a solution that must
be met on an ongoing basis.
Sponsor (Business Owner): The person responsible for the operation of the solution
from a business perspective will be responsible for deciding if the solution evaluation
warrants the initiation of a change initiative.
7.7.7
Output
Solution performance assessment: describes how the solution is performing in
relation to business goals and objectives. May be used as an input to Identify Business
Need (see Enterprise Analysis).
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Technique: Defect and Issue Reporting
7.8.1
Purpose
240
Issue Reporting provides an organized approach to tracking, management, and
resolution of requirements issues throughout the requirements process.
Management of issues is important so that they can be resolved in a timely manner to
ensure there is no impact to the requirements process and subsequent design and
realization phases.
Defect Reporting provides the same benefits as Issue Reporting, but within the Solution
Assessment and Validation Knowledge Area, during the task Validate Solution.
Defect Management is important so that defects can be analyzed, dispositioned, and
resolved in a timely manner to ensure that the business has been provided with a
solution that meets the agreed-to requirements.
Description
AF
T
7.8.2
Issue and Defect Reporting includes status updates, assigning of issue/defect related
actions that are required to team members and tracking the actions’ Estimated
Completion Dates (ECDs), resolution results, actions and decisions taken, priority, and
impacts.
7.8.3
DR
Communication of Issues and Defects and their status across the team via regularly
scheduled reviews and provision of minutes along with the updated issue/defect report
( a register/list) is essential to Issue and Defect resolution.
Elements
The Business Analyst should capture key details about the issue/defect to ensure
precise ongoing tracking from initial identification to closure:
Description - a clear and concise description of the issue/defect identified
Ensure that the team understands the issue/defect and that there is no ambiguity.
•
For an issue, ensure that it is requirements related, and if it is not, provide the
information to the project manager for further management of the identified
issue. An example of a common requirements issue is lack of clarity of a specific
business requirement.
•
Raised By - who identified it
•
Date Identified
•
Impact -
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o
Issue – determine the impact to the requirements/requirements
process if the issue is not resolved by the Need by Date. Impact may be
assessed based on schedule, cost, scope, as examples.
o
Defect – determine the impact to the solution if the defect is not
resolved by the Need by Date. Impact may be assessed based on
schedule, cost, scope, as examples.
•
Priority – determine priority of issue/defect based on impact. An example of a
priority scale that can be used is: Critical, High, Medium, Low.
•
Need by Date –
Issue - date that issue needs to be resolved by so that there is no impact
to the requirements/requirements process.
o
Defect - date that defect needs to be resolved by so that there is no
impact to additional testing during the Validate Solution task.
AF
T
o
Owner – one team member who is assigned to manage the issue/defect to
closure. This may not be the same person who identified the issue/defect and
may not the same person(s) who are assigned actions to resolve the
issue/defect. May very often be the Business Analyst in the case of an issue, and
may very often be the Development Lead in case of a defect.
•
Status – the current status of the issue/defect. An example of statuses that can
be used are: Open, Assigned, Resolved, Cancelled.
DR
•
•
Resolution Date – date that issue/defect is Resolved (or Cancelled).
•
Action(s) Required to Resolve-
•
Action Needed to Resolve – details of what action needs to be taken to resolve
the issue/defect. May be more than one.
•
Responsible for Action - person assigned to take the specific action.
•
Estimated Completion Date (ECD) of Action.
•
Status of Action - the current status of the action. An example of statuses that
can be used are: Open, Assigned, Complete, Cancelled.
•
Results (Issue) or Retest Results (Defect)-
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o
Issue – once the issue has been resolved, capture the results of the
resolution.
o
Defect - once the defect has been resolved, capture the results of the
retest: e.g. Pass/Fail. If the result is Fail, then the Owner will lead the
analysis to understand what further actions need to be taken to resolve.
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Decisions Taken – capture any decisions taken (by whom, and when) for the
issue/defect. This will help to understand why the results were deemed
sufficient to resolve the issue/defect.
Once the above details of the issue/defect have been captured, the ongoing tracking and
management of the details must be done until the Issue/Defect is either Resolved or
Cancelled (not determined to be an issue/defect any longer).
It is essential that the team understand each issue/defect, that each issue/defect has
actions against it moving to resolution by the “Need by Date”. A regularly scheduled
review of the issue/defect report by all relevant parties ensures visibility and focus on
the issue/defects. The Issue/Defect Report should be readily available to be accessed by
all team members, and kept up to date with current details after each review of the
issue/defects with the team.
AF
T
Issue/defects that are unable to be actioned and resolved by the team should be
escalated by the Business Analyst to the Project Manager. If there is no PM, then the
issue/defect should be raised to the next level of authority for the project such as the
Business Sponsor or IT Manager, depending on the nature of the issue/defect.
An additional element that can be useful to guage how the project is doing regarding
issue and defect resolution is to decide on a set of metrics/key performance indicators
(KPIs) and then measure and report them.
Examples of useful KPIs are:
•
7.8.4
Number of issues/defect by status, priority.
DR
•
Cycle time for each issue/defect (number of days it took from Date Identified to
Resolution Date).
Usage Considerations
.1
Advantages
Issue/Defect Reporting and Management provides an organized method for tracking,
and reaching the goal of the resolution of Issues and Defects. It provides a mechanism
to communicate issues/defects across the team, and helps to maintain focus on open
issues/defects until they are resolved. The regular review of the issues/defects together
with the team also helps to focus and is necessary to ensure resolution.
Commitment is required by the Business Analyst, Business Stakeholders, and IT
Development (for Defects) and other impacted team members to ensure Issue and
Defect Reporting and Management leads to:
•
Resolutions in a timely manner that eliminate or minimize negative impacts.
•
Resources allocated to resolution as required.
•
Determine root causes of issues/defects so that they do not recur.
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Issue and Defect Reporting and Management is effective for all sizes and types of
projects.
For smaller projects with a small team, a simple spreadsheet suffices to track them.
For larger projects with a large dispersed team, an automated solution can help.
.2
Disadvantages
In the following situations, it may be challenging to use the technique:
7.9.1
•
If key team members are not committed to be available to discuss regularly the
lists of issues/defects to determine actions to be taken, then progress to resolve
them may become very slow to non-existent.
•
If there is a strict deadline to deliver the solution, then issue/defect management
may become a lower priority. Often, root cause analysis of the issues/defects can
take more time and resources than the project is willing to provide.
•
If continuous accountability, ownership, and focus is not put on issue/defect
reporting and management, and each action does not have a person responsible
and ECDs, then progress will not be made to resolve the issues/defects.
AF
T
If regular prioritization and management of issues/defects is not done, the lists of
issues/defects may be neglected.
Technique: RFI, RFQ, RFP
DR
7.9
•
Purpose
If the solution team thinks that a potential solution is available from an outside party, a
RFI (request for information), RPQ (request for quotation), or RFP (request for
proposal) is created. These documents may also be used to gather information about
vendors or other potential solutions providers who would be willing to create/develop
the solution for the organization.
7.9.2
Description
A Request for Proposal (RFP) is sent to potential solution providers or vendors. The
company’s purchasing agent, legal department or procurement organization is usually
the owner of this process. One business analysis activity is research to find these
potential vendors. The research includes identification of existing solutions that may be
applicable to the business stakeholder needs or identification of outside organizations
that may be willing to develop/build a custom solution.
The BA can use industry information listings or references to identify possible solution
providers and/or send a formal or informal RFI. An informal RFI can be phone call or
email to solicit information and rule out the unsuitable providers. A RFI must minimally
include the high level requirements. The outcome of the RFI response must minimally
include whether the provider has a solution, a pricing model and major solutions
features.
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It is important to note that the solution team should carefully consider how each
vendor solution will be evaluated before they evaluate the product offerings. Often
stakeholders can be impressed by a product demo when the underlying product does
not truly meet the business need. BAs must develop evaluation criteria based on the
business requirements before looking at available products.
7.9.3
Elements
It is important to note that the solution team should carefully consider how each
vendor solution will be evaluated before they evaluate the product offerings. Often
stakeholders can be impressed by a product demo when the underlying product does
not truly meet the business need. BAs must develop evaluation criteria based on the
business requirements before looking at available products.
AF
T
This task is to compile all of the requirements, business area background and related
information into an RFP to ask for a proposal. The company’s purchasing agent, legal
department or procurement organization is usually the owner of this process. One
business analysis activity is to provide well documented requirements in a format to
which the vendor will be able to respond. In addition, business analysis skills may be
used to help determine how the responses will be evaluated.
DR
The evaluation criteria may simply be based on cost of the implementation or total cost
of ownership. More often the evaluation criteria will include an objective measurement
(weighting criteria) of how well the proposed solution meets the requirements as
specified in the RFP. The more objective the measurement and vendor evaluations, the
more objective the final recommendation. When developing RFP questions, avoid using
closed ended questions.
Most RFPs include many sections or components. Examples include:
•
User or Business Requirement for the particular problem/solution area
•
Business strategy or business architecture description
•
Technical environment constraints/limitations
•
Legal, regulatory, or government requirements
The solution provider/vendor may be asked to submit specific items. Examples include:
•
Solution cost or total cost of ownership
•
Alignment with overall business strategy
•
Solution architecture, performance, quality, and support
•
Solution’s extensibility and integration
•
Provider’s sustainability, and or provider’s profile and reputation
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Once RFP responses have been received from vendors, the next task is to evaluate the
responses. The BA should involve all stakeholders in this process. Based on the
information provided in each proposal, the project team can determine the extent to
which the solution provider can meet the requirements. The responses should also
contain specific product cost information along with total cost of ownership, and
alignment with overall business strategy. The solution team should evaluate the
solutions’ extensibility, integration, architecture, and performance. A purchasing agent
can aid in evaluating provider’s profile, sustainability and reputation.
7.9.4
Usage Considerations
Advantages – allows for an objective comparison of competing vendor solutions.
Disadvantages – takes time for RFP preparation, vendor response, review of responses,
and final selection.
Technique: Structured Walkthrough
7.10.1
Purpose
AF
T
7.10
The purpose of a structured walkthrough is to review a project deliverable and is
generally regarded as an efficient, effective method of catching errors, oversights and
misconceptions. The technique has been around a very long time; but remains one of
the most effective methods to detect errors and omissions. However, it should be used
only to detect errors and omissions, not to correct them.
DR
The business analyst can use structured walkthroughs as one of their tools to help
answer the questions of “Validation” "Are we building the right product” and
“Verification” "Are we building the product right”. A structured walkthrough is
essentially a more formal version of a requirements review, and it is likely these
techniques will be merged following the public review.
7.10.2
Description
A structured walkthrough is an organized peer review of a project deliverable with the
objective of finding errors and omissions. It is considered a form of quality assurance.
The basic execution of a “walkthrough” involves the author of the deliverable explaining
its content step by step to a small peer group. During this review, the members of the
group will offer their comments. An interesting phenomenon very often encountered in
this process is that the author will be the one to identify the error or omission!
Regardless of who identifies the defect, the scribe will record all of them. The author will
receive a complete list at the end of the walkthrough session.
An underlying concept of structured walkthroughs is that people often cannot see their
own mistakes, so all deliverables should be reviewed by someone other than the author.
The structured walkthrough is one technique that the business analyst can use to
accomplish such a check.
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246
Elements
The use, organization, degree of formality and the participants involved in structured
walkthroughs will vary considerably among organizations.
Structured walkthroughs can be conducted during any project phase and are used to
review a wide variety of deliverables. Business analyst use of walkthroughs is primarily
concerned with requirements related deliverables.
In some organizations and on some projects, it may be useful to include end users in
some walkthroughs. Management typically does not participate in structured
walkthroughs; but may be called on to do so on small projects and/or in small
organizations. If managers are involved, they must forget that they are managers and
function as peer reviewers if the structured walkthrough is to be effective. Otherwise the
other participants, particularly the author, may alter their behavior to the detriment of
the results of the walkthrough.
AF
T
Although organizations will often define different roles to participate in the structured
walkthrough, a typical set is provided below.
Author - responsible for requesting the walkthrough when ready. This is the creator of
the deliverable under review.
Presenter (often the author) - develops the agenda for the walkthrough and presents
the deliverable being reviewed.
Facilitator/Coordinator - facilitates and manages the meeting.
DR
Reviewer(s) - evaluates the deliverable and may also check to see if it meets
organization standards.
Standards Representative – checks to insure that the deliverable meets organization
standards
Scribe/Recorder/Secretary - records the errors and other technical comments,
suggestions, and unresolved questions.
Note that the business analyst may fill a number of these roles depending on the
particular deliverable being reviewed. Users may also be called upon to fill some of these
roles. It must be remembered that these are “roles”. A single person may be responsible
for multiple roles.
Some organizations feel that the reviewers should do advance preparation for the
walkthrough while others do not require this; preferring to have the reviewers come
with an open mind. At any rate, the advance preparation should involve no more than
an hour or two of reading the deliverable.
A structured walkthrough will usually involve anywhere from 3-6 people filling the
above mentioned roles and will usually last from 1-2 hours. This time frame will
necessarily limit the amount of material that can be reviewed in any one session.
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The actual execution of the walkthrough usually proceeds with the author/presenter
explaining the deliverable in detail with the reviewers asking questions as this is done.
The output of the walkthrough will usually include:
List of errors/omissions and the date
•
List of participants and the deliverable reviewed
•
Indication of deliverable status
•
Accepted
•
Minor corrections needed
•
Major errors requiring another review
•
Indication of the need for a further review
•
Signoff (when appropriate) form
AF
T
•
The structured walkthrough process can be a very formal one with extensive record
keeping and accountability or can be a very informal one, depending on the
organization and its culture. Regardless, the following should be kept in mind if
structured walkthroughs are to be utilized:
•
Observe a time limit on the meetings
Remember the purpose is error detection, not correction
•
Review the product, not the author
•
Managers should usually not be involved
•
The walkthrough is NOT a performance review
DR
•
One factor the business analyst should consider is the tradeoff between the value of the
walkthrough and its cost. If the cost of a walkthrough is computed as the number of
person hours needed to prepare and hold the review; then the business analyst can
compare that to the value of finding requirements or other errors early in the project life
cycle. If we assume 5 people attend the walkthrough with 4 hours for each along with an
additional 2 hours for the author to get ready, there is a total of 25 hours. How many
requirements defect/errors must be detected to make the walkthrough worth the
effort?
7.10.4
Usage Considerations
Structured walkthroughs offer considerable advantages to the business analyst in
detecting errors/oversights/misunderstandings very early in the project. Any potential
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disadvantages are people related and should be able to be minimized with proper
planning on the part of the business analyst.
.1
Advantages
•
An extremely effective approach to detecting “errors” very early in the project life
cycle when the cost of detection and correction is at a minimum.
•
Structured walkthroughs can provide a very effective learning tool if younger, less
experienced business analysts are included as participants.
•
Structured walkthroughs can be used as a tool to encourage (and enforce!)
standardization if this is desirable in the organization.
•
Promotes project continuity and reduces project risk since the walkthroughs force
multiple people to become familiar with the deliverables under review.
•
Obtain input from reviewers with varied backgrounds, experience, and expertise.
Disadvantages
AF
T
.2
There are some potential disadvantages sometimes encountered with using structured
walkthroughs. Among these are the following:
The author of the deliverable may get “defensive” when they perceive any criticism
directed toward their effort. This is also referred to as the “ego” problem.
•
Managers may perceive the walkthrough to be a tremendous waste of time due to
the number of people sitting in the meeting, along with the preparation time for all
participants.
DR
7.11
•
7.11.1
•
Some organizations may try to use the walkthrough as a performance review of the
author
•
Some authors become very nervous due to the pressure of the walkthrough reviews.
Technique: User Acceptance Testing (UAT)
Purpose
There are a number of different levels and types of testing commonly seen in software
development including unit, integration, system, performance, security, etc.
UAT is an additional form of software testing normally conducted by the user or their
representative, the business analyst.
The main purpose of UAT is to allow the user and their representative, the business
analyst, to prove that the new system meets essential user and performance
requirements. UAT should be conducted to measure the user's satisfaction as well as
test business functionality. It is also used to “prove” that the software will work in the
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intended business environment and with the existing business processes – in other
words, in the “real world” environment.
UAT usually takes place after the software has been completed from the developer’s
view. With some of the more iterative types of software development, this may not
always be the case and UAT can be conducted on an iterative basis. UAT is also used in
the acquisition of purchased software and is then usually done prior to final purchase.
In either case, UAT is usually the last step prior to the actual live installation and use of
the software.
Responsibility for UAT has been increasingly assumed by business analysts in many
organizations. They may actually perform the UAT, or they may be responsible for
seeing that it is accomplished in a professional manner.
A major purpose of UAT is to catch errors or assumptions that will not be caught by the
other types/levels of testing.
Description
AF
T
7.11.2
UAT is often known by different names such as Acceptance testing, Application testing,
User testing, Beta testing and others. By any name, this type of testing is based upon
previously identified business requirements.
UAT is not intended, nor should it be used, to replace any other type or level of software
application testing.
DR
UAT may be defined as a system test of the new or modified software using an
environment, processes and inputs that simulate the expected actual working world as
closely as possible.
UAT is a critical part of the systems development life cycle. “Acceptance” criteria should
be designed and developed in precise detail to define the means by which “Acceptance”
will be evaluated.
The focus of the business analyst during UAT should be on a production like simulation
of the software by getting as close as possible to exact real world usage of the
application.
A major difference between developer testing and UAT is that the developer tests the
code and technical documentation; while the UAT business analyst tests the application
against the business requirements. The UAT is the last step prior to actual
implementation of the software application. Once the UAT is “passed”, the software is
“accepted” and signed off as meeting the requirements.
7.11.3
Elements
As we saw above, the business analyst is increasingly involved in the UAT process. Their
exact role will naturally vary from organization to organization. In some cases they may
be completely responsible for planning and carrying out the UAT. In other instances,
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the business analyst may only be responsible for insuring that the UAT is planned and
executed properly. Most business analyst roles will fall somewhere in between these
two. In the remainder of this section we will briefly examine the UAT process keeping in
mind the business analyst role.
Steps in the UAT process will usually include the following:
1) Plan the testing
2) Design the test cases
3) Select the test team
4) Run the tests and compare the actual results to the expected
5) Document any defects and omissions identified
AF
T
6) Meet to evaluate results and identify resolution
7) Iterate steps 4-6
8) Sign Off
Key UAT related deliverables will usually include:
1) A UAT Test Plan to outline the testing approach and resources
DR
2) UAT Test cases – To effectively test the application and “prove” that it works as the
users expect
3) The Test Log – A recording of the environment, all inputs and results
4) User Sign Off – Indicating application acceptance (note the criteria!)
5) Accepted software application
By basing the UAT test cases on the user requirements previously developed by the
business analyst and reviewing the expected results with key users; the business analyst
will be conducting a review and verification of the requirements and user expectations
for the application. The business analyst must insure that the UAT has been designed to
test all reasonably expected user events.
Passing UAT test results to the development team will vary depending on the
organization, but should be defined and agreed to by all involved groups before the UAT
is begun. The approach to version control and scheduling UAT repeat testing should
also be defined prior to beginning the testing.
Identified defects will usually be classified based on severity and the likelihood of
occurrence of the defect. Acceptance of the finished product will depend on the number
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of various levels of defects found and their likelihood of occurrence in the live
environment.
A sample severity list is shown below: (note that the classification is subjective)
o
Show Stopper - cannot continue with the testing
o
Critical - cannot go into production
o
Major - causes severe impact on business processes
o
Medium - some impact on business processes
o
Minor - should be corrected, but little impact on business processes
o
Cosmetic - spelling, color, fonts, etc. (these may impact reputation!)
7.11.4
AF
T
Users, with the assistance of the business analyst, must define and agree to the
approach to handle defects found in each category as well as the final acceptance
criteria, i.e. the application can go live if no more than 1 Major and less than 5 Minor
uncorrected defects exist.
Usage Considerations
DR
UAT provides the business analyst with an opportunity to provide a final evaluation of
the new application and insure that it will meet user expectations. It should be
employed whenever possible by the business analyst. Potential disadvantages can
usually be managed to avoid any negative impacts on the project and organization.
Especially for the first few projects involving UAT, the business analyst may have to
convince their users that their participation in UAT is important to the success of the
project. Many users may feel that they do not have the time to invest in testing and that
testing is “their” (developers) responsibility. The advantages of UAT are such that the
business analyst should persuade their users that it is worthwhile!
.1
Advantages
1. Users gain an understanding of the application
2. Provides users with a early look at the system functionality
3. Provides the possibility of beginning user training
4. UAT planning provides verification of user expectations
5. Provides an early “real world” test of the application
6. Identify potential of adverse impacts on the business processes
7. Lower the risk of the new/changed application
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a. Organization reputation
b. Legal considerations
c.
.2
Schedule, cost and performance problems
Disadvantages
Increased cost and time required to complete application testing
•
Can lead to increased requests for system changes
•
Can lead to less testing by the developers since “they will catch any errors that
we miss”
•
Need for time commitment from the UAT team
DR
AF
T
•
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Chapter 8: Underlying Competencies
8.1
Introduction
8.1.1
Knowledge Area Definition and Scope
The Underlying Competencies Knowledge Area is a description of the behaviors,
characteristics, knowledge and qualities that support the practice of business analysis.
The underlying competencies are, of course, not unique to the business analysis
profession. Rather, it is intended to ensure readers are aware of the range of
fundamental skills employed, and provide a basis for them to dig further into the skills
and knowledge that will enable them to be accomplished and adaptable analysts.
8.1.2
AF
T
It brings together competency expectations found within this KA and across the
breadth of the BABOK. As such it can provide a checklist for everything from career and
development planning, to interview preparation and candidate selection.
Competency Categorization
The underlying competency areas relevant to business analysis include:
.1
Analytical Thinking and Problem Solving
DR
Analytical thinking and problem solving supports effective identification of business
problems, assessment of proposed solutions to those problems, and understanding of
the needs of stakeholders. Analytical thinking and problem solving involves assessing a
situation, understanding it as fully as possible, and making judgments about possible
solutions to a problem. This may be accomplished by breaking down a problem into
smaller, related subproblems, identifying cause-and-effect relationships between
aspects of the problem, and synthesizing descriptions of the problem to create a new
and more useful way of investigating the situation.
.2
Behavioral Characteristics
Behavioral characteristics include qualities such as ethics, trustworthiness, and
personal organization. A business analyst who does not have these characteristics will
not earn the respect of stakeholders, and as a result, stakeholders may choose to
withhold potentially sensitive information. A business analyst who establishes strong
interpersonal rapport with their stakeholders will enhance their openness and depth of
communication, significantly mitigating the risk of inadequate requirements discovery.
.3
Business Knowledge
Business knowledge is the combination of learned and experience-based knowledge
pertaining to the:
•
Industry or type of business, including the business’ role and position in the
industry
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•
Role of business areas within the business, including professional knowledge
and the fit of the function within the business
•
Operational characteristics and principles, including the impact of size,
organizational structure, and business culture
•
Knowledge of the characteristics of a proposed/existing solution
The depth of prior domain knowledge needed can vary dramatically from project to
project, depending on the complexity of the solution. An understanding of the business
domain supports effective business analysis and improves the quality of solution
recommendations.
.4
Communication Skills
AF
T
Communication skills support business analysts in eliciting and communicating
requirements among stakeholders. Strong communication – the base written and oral
(speaking and listening) capabilities themselves, plus skill at their appropriate use –
makes all business analyst tasks easier. Many failures of projects and other work
activities can be traced to miscommunication of one sort or another. Accurate
communication is important to overcome the many opportunities for
misunderstanding, even in the simplest of contexts. All messages can be interpreted
through four prisms:
What people think they are saying;
•
What they are actually saying;
•
What recipients hear; and
•
What recipients think was said.
DR
•
Communication skills help the business analyst narrow or negate the gap between what
she thinks she is stating and what the recipient believes that she is stating. It addresses
the need to listen to and understand the audience, standing with the audience,
communications objective(s), the message itself, and the most appropriate media and
format for the communication.
.5
Group Interaction Skills
Interaction skills support the business analyst when working with large numbers of
stakeholders, and involve both the ability to work as part of a larger team and to help
that team reach decisions. While most of the work of business analysis involves
identifying and describing a desired future state, the business analyst must also be able
to help the organization reach agreement that the future state in question is desired
through a combination of leadership and facilitation.
.6
Software Applications
Software applications are used to facilitate the collaborative development, recording
and distribution of requirements to affected stakeholders who may be separated in time
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or location. While it is possible to define, develop, and implement a solution using
nothing more than verbal communications and temporary documentation of artifacts
(such as through whiteboards), most enterprises will use some combination of software
applications to store the results of business analysis work. Business analysts should be
skilled users of the tools used in their organization and must understand the strengths
and weaknesses of each.
8.2
Analytical Thinking and Problem Solving
8.2.1
Decision Analysis
.1
Purpose
Business analysts must be effective in understanding the criteria involved in making a
decision and in assisting others to make better decisions.
.2
Definition
AF
T
A decision is required whenever it becomes necessary to select an alternative or
approach from two or more options. Decision analysis includes gathering information
relevant to a decision, breaking down the information relevant to a decision, making
comparisons and tradeoffs between similar and dissimilar options, and identifying the
option that is most desirable. Business analysts must be aware of the traps that can
impede successful decision making.
.3
Effectiveness Measures
DR
Measures of successful decision analysis include:
8.2.2
•
Confidence of the participants in the decision-analysis process that a decision is
correct.
•
New information or alternatives that cause a decision to be revisited are
genuinely new and not simply overlooked.
•
Decisions are effective in addressing the underlying problem.
•
The impact of uncertainty and new information when making decisions can be
effectively assessed.
Learning
.1
Purpose
Business analysts must be effective at learning about business domains and how they
function, and then translate that learning into an understanding of how to improve the
functioning of the business.
.2
Definition
Learning is the process of gaining knowledge or skills. Learning about a domain passes
through a set of stages, from initial acquisition and learning of raw facts, through
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comprehension of their meaning, to applying the knowledge in day-to-day work, and
finally analysis, synthesis, and evaluation of the domain. A business analyst must be
able to describe their level of understanding of the business domain and be capable of
applying that level of understanding to determine which analysis activities need to be
performed in a given situation. Once learning about a domain has reached the point
where analysis is complete, the business analyst must be able to synthesize the
information to identify opportunities to create new solutions and evaluate those
solutions to ensure that they are effective.
.3
Effectiveness Measures
Measures of successful learning include:
Agreement by stakeholders that analysis models effectively and completely
describe the domain.
•
Identification of related problems or issues from multiple areas in the domain.
•
Rapid absorption of new information or new domains.
AF
T
8.2.3
•
Problem Solving
.1
Purpose
Business analysts must be effective at framing and solving problems in order to ensure
that the real, underlying problem is understood and that solutions actually address that
problem.
Definition
DR
.2
Framing a problem involves ensuring that the nature of the problem is clearly
understood by all parties and that the underlying problem is properly understood.
Conflicts between the goals and objectives of the stakeholders need to be brought to the
surface and addressed. Underlying assumptions are identified and tested. The
objectives that will be met once the problem is solved need to be clearly specified and
alternative solutions should be developed. Alternatives are measured against the
objectives to determine which possible solution is best and the tradeoffs that may exist
between solutions. The business analyst should be aware of a number of problem
solving techniques that may be applied. Ultimately, a solution must be chosen for
implementation.
.3
Effectiveness Measures
Measures of successful decision analysis include:
•
Confidence of the participants in the problem-solving process that a selected
solution is correct.
•
New solution options can be evaluated effectively using the problem solving
framework.
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•
Selected solutions meet the defined objectives and solve the underlying
problem
•
The problem-solving process avoids making decisions based on preconceived
notions, organizational politics, or other traps that may cause a sub-optimal
solution to be selected.
Systems Thinking
.1
Purpose
Business analysts must be effective at understanding how the people, processes and
technology within an organization interact in relationships and patterns to create a
system as a whole.
.2
Definition
.3
AF
T
A system includes all of the interacting parts of the system, including all of the inputs
and outputs. Systems theory and systems thinking suggest that the system as a whole
will have properties, behaviors and characteristics that emerge from the interaction of
the components of the system, and which are not predictable from an understanding of
the components alone.
Effectiveness Measures
Measures of effective use of systems thinking include:
8.3.1
Understanding of how a change to a component affects the system as a whole.
•
Identification of reinforcing and compensating feedback loops.
•
Understanding of how systems adapt to external pressures and changes.
DR
8.3
•
Behavioral Characteristics
Ethics
.1
Purpose
A business analyst must be able to behave ethically in order to earn the trust and
respect of stakeholders, and be able to recognize when a proposed solution or
requirement may present ethical difficulties.
.2
Definition
Ethics requires both an understanding of moral and immoral behavior, or the standards
that should govern one’s behavior, and the willingness to act to ensure that one’s
behavior is moral or meets those standards. Business analysts need to consider the
impact that a proposed solution will have on all stakeholder groups and work to ensure
that those groups are treated fairly. Fair treatment does not require that the outcome be
beneficial to the stakeholder group, but it does require that the affected stakeholders
understand the reasons for the decision, that they are not deceived about the outcome,
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and that decisions which are made are in the best interest of the organization. The
business analyst should be able to identify when an ethical dilemma occurs and
understand how such dilemmas may be resolved.
.3
Effectiveness Measures
Measures of ethical behavior include:
Decisions are made with due consideration to the interests of all stakeholders
•
Reasons for a decision are clearly articulated and understood
•
Prompt and full disclosure of potential conflicts of interest
•
Honesty regarding one’s abilities, the performance of one’s work, and accepting
responsibility for failures or errors
Personal Organization
AF
T
8.3.2
•
.1
Purpose
Personal organization skills assist the business analyst in effectively managing tasks
and information.
.2
Description
DR
Personal organization involves the ability to readily find files or information, timeliness,
management of outstanding tasks, and appropriate handling of priorities. Managing
time effectively can assist in building a relationship. While the details of time
management are outside of the scope of this document, some areas for attention are
effective prioritization, elimination of procrastination, clarity of goals and expectations.
The business analyst must do what they say they will do and when. Standard
techniques such as action plans, to do lists and setting priorities are among the
common approaches to effective time management.
.3
Effectiveness Measures
Measures of personal organization include:
•
The ability of the business analyst to find information
•
Regular on-time completion of tasks
•
Efficiency in the completion of work
•
The ability to easily identify all outstanding work and the status of each work
item
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Trustworthiness
.1
Purpose
Earning the trust of key stakeholders is necessary to ensure that the business analyst is
able to elicit requirements around sensitive issues and to ensure that recommendations
are evaluated properly.
.2
Definition
.3
AF
T
A trustworthy business analyst must constantly demonstrate to stakeholders that they
deserve the stakeholder’s confidence and are concerned with that stakeholder’s best
interests. The business analyst must achieve a balance of trust from two key
perspectives: trust in the business analyst’s ethics and capability to conduct the project,
while finding an equilibrium of trust to offset the inherent mistrust (by at least some
affected by any project) based upon the risk to vested interests in the status quo, or
simple fear of change. Trustworthiness requires that the business analyst engage with
the stakeholder’s needs, not the stakeholder’s desires, and that the business analyst
must honestly address issues when they occur.
Effectiveness Measures
Measures of trustworthiness include:
Stakeholders involving the business analyst in decision-making
•
Stakeholder acceptance of the business analyst’s recommendations
•
Willingness of stakeholders to discuss difficult or controversial topics with the
business analyst
DR
•
•
8.4
8.4.1
Willingness of stakeholders to support or defend the business analyst when
problems occur
Business Knowledge
Business Principles and Practices
.1
Purpose
Business analysts require an understanding of fundamental business principles and
best practices, in order to ensure that they are incorporated into and supported by
solutions.
.2
Definition
Business principles are those characteristics that are common to all organizations with
a similar purpose and structure, whether or not they are in the same industry. Almost
all organizations need certain functions or capabilities in order to operate. Business
areas within and across industries often have a common set of business processes and
associated systems. Common functional areas include:
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•
Human Resources
•
Finance
•
Information Technology
•
Supply Chain Management
While these areas have common processes, they can also vary widely based on the
industry and size of an organization (e.g. human resources will be guided by different
regulatory and cultural influences, but there are universal commonalities in roles such
as finding, retaining, counseling, compensating, and removing staff). Other areas, such
as production, tend to have fundamentally different demands between different
industry classifications (e.g. agriculture and software). Understanding how other
organizations have solved similar challenges can be useful when identifying possible
solutions.
.3
Effectiveness Measures
AF
T
Measures of knowledge of business practices and principles may include:
•
Focuses on broader business principles, practices and processes ensuring
details are consistent with the high-level view
•
Has very good understanding of business environments, operations, process
and practices relating to:
8.4.2
Common business management and decision making concepts,
principles activities and practices
DR
o
o
Typical organization structures, job functions and work activities
o
Complex business functions and operations
Industry Knowledge
.1
Purpose
Business analysts should have an understanding of the industry that their organization
is in so that they may understand new challenges that may be posed by competitive
moves, and which solutions have proven effective elsewhere.
.2
Definition
Industry knowledge is the understanding of the competitive forces that shape an
industry. It requires that the business analyst understand the various customer
segments that the industry services and the demographic or other characteristics
common to that segment. An understanding of major trends impacting the industry will
help shape business requirements. Competitors will be making changes to their product
lineup and business operations in response to these changes, and the business analyst
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may need to recommend changes to an ongoing change initiative in order to respond to
a competitor’s action.
.3
Effectiveness Measures
Measures of effective industry knowledge may include:
Understanding of industry related material and keeps abreast of what is taking
place in the industry
•
The ability to identify key trends shaping the industry
•
Knowledge of major competitors and partners for the organization
•
Knowledge of major customer segments
•
Knowledge of common products and product types
•
Knowledge of sources of information about the industry, including relevant
trade organizations or journals.
•
Understanding of industry-specific resource and process documents
•
Understanding of industry standard processes and methodologies
AF
T
8.4.3
•
Organization Knowledge
.1
Purpose
DR
Business analysis is significantly assisted by an understanding of the organization for
which it is being performed.
.2
Definition
Organization knowledge is an understanding of the business architecture of the
organization which is being analyzed. It includes an understanding of the business
models that the organization (that is, how the organization generates profits or
otherwise accomplishes its goals), the organizational structure that is in place, the
relationships that exist between business units, and the persons who occupy key
stakeholder positions. Understanding of an organization requires understanding of the
informal lines of communication and authority that usually exist in parallel with the
formal ones, and the internal politics that govern or influence decision making.
.3
Effectiveness Measures
Measures of a business analyst’s organizational knowledge may include:
•
Understanding of terminology or jargon used in the organization
•
Understanding of the products or services offered by the organization
•
Ability to identify SMEs in the organization
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262
Organizational relationships and politics
Solution Knowledge
.1
Purpose
Business analysts can use their understanding of existing solutions in order to identify
the simplest means of implementing a change.
.2
Definition
Business analysts frequently work on projects that involve enhancing an existing
solution rather than developing entirely new ones. In these circumstances, it is likely
that the method of implementation chosen will make a significant difference in the time
and effort required. A business analyst who is familiar with the workings of a solution
may be able to more easily identify and recommend changes that can be implemented
easily while still providing concrete benefits.
.3
Effectiveness Measures
8.5.1
•
Reduced time to implement a required change
•
Shortened time on requirements analysis and solution design
•
Understanding when a larger change is justified based on business benefit
Communication Skills
DR
8.5
AF
T
Measures of useful solution knowledge can include:
Oral Communications
.1
Purpose
Oral communication skills enable business analysts to effectively express ideas in ways
that are appropriate to the target audience.
.2
Definition
Oral communication skills are used to verbally express ideas, information, or other
matters. Oral communications are a rich channel which allow for the efficient transfer
of information, including emotional and other non-verbal cues. Effective oral
communication skills include both the ability to make oneself understood and the
active listening skills that ensure that the statements of others are accurately
understood. The business analyst must have an understanding of tone and how it can
positively or negatively influence the listener. Oral communication is most effective
when the information being communicated will be used in the short term.
.3
Effectiveness Measures
Effective oral communication skills can be demonstrated through:
•
Effectively paraphrases to ensure understanding
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•
Effectively facilitates sessions, ensuring success through preparedness and coordination
•
Develops and delivers powerful presentations by positioning content and
objectives appropriately (i.e. positive verses negative tone)
•
Can communicate the criticalness or urgency of a situation in a calm, rational
manner with proposed solutions
Teaching
.1
Purpose
Teaching skills are required to ensure that business analysts can effectively
communicate issues and requirements and to ensure that the information
communicated is understood and retained.
.2
Definition
DR
AF
T
Teaching requires an understanding of how people learn and the ability to use this
understanding to effectively facilitate the learning experience. A business analyst must
be aware of different learning styles, including visual learners (who learn best through
the presentation of visual guides and models), auditory learners (who learn best
through oral communication and written language) and kinesthetic learners (who learn
most effectively through doing). The business analyst should understand how different
learning styles may determine the form of requirements communication. Effective
teaching also requires an understanding of methods that may be used to confirm that
the student has learned and can apply what they have learned.
.3
Effectiveness Measures
Effective teaching skills can be demonstrated through:
8.5.3
•
Verifying that students have learned information that has been imparted to
them
•
Ability of learners to use new skills or demonstrate new knowledge
Written Communications
.1
Purpose
Written communication skills are necessary for business analysts to document
elicitation results, requirements, and other information for which medium-to-long term
records are required.
.2
Definition
Written communication involves the use of symbols to communicate information. It
includes the ability to write effectively for various contexts and audiences. Written
communication is required when information will be used at a time or place that is
remote from the time and place it was created. Effective written communication
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requires that the business analyst have a broad vocabulary, strong grasp of grammar
and style, and an understanding of which idioms and terms will be readily understood
by the audience. Written communications are capable of recording a great deal of
information, but it is frequently challenging to ensure that the written text is correctly
understood.
.3
Effectiveness Measures
Effective written communication skills can be demonstrated through:
•
Ability to adjust the style of writing for the needs of the audience
•
Proper use of grammar and style
•
Appropriate choice of words
•
Ability of the reader to paraphrase and describe the content of the written
communication
Interaction Skills
8.6.1
Facilitation and Negotiation
AF
T
8.6
.1
Purpose
Business analysts facilitate interactions between stakeholders in order to help them
resolve disagreements regarding the priority and nature of requirements.
Definition
DR
.2
Facilitation is the skill of moderating discussions among a group to enable all
participants to effectively articulate their views on a topic under discussion, and to
further ensure that participants in the discussion are able to recognize and appreciate
the differing viewpoints that are articulated. In many cases, an effectively facilitated
discussion will help participants to recognize that they have differing views on a topic
under discussion. The business analyst may be required to support negotiation between
parties on how best to resolve those differences. The business analyst must be able to
identify the underlying interests of the parties, distinguish those interests from their
stated positions, and help the parties to identify solutions that satisfy those underlying
interests.
.3
Effectiveness Measures
Effective facilitation and negotiation skills are demonstrated though:
•
Participants in a facilitated discussion are able to correctly describe one
another’s viewpoints
•
Discussions do not get sidetracked onto irrelevant side topics
•
Common areas of agreement are identified
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Has knowledge and experience with different negotiation styles
•
Focuses on what is important during negotiations
•
Understands and considers all parties’ interests, motivations and objectives
•
Negotiates successfully towards win/win outcomes on a regular basis
•
Can distinguish the less important items and leverage them in the negotiations
event
•
Understands the political implications and negotiates in a politically sensitive
manner
•
Understands the impact of time and timing on negotiations and applies as
required
•
Understands the impact of different negotiation styles and selects the
appropriate style considering the situation and the other parties’ negotiation
style
AF
T
8.6.2
265
Leadership and Influencing
.1
Purpose
DR
Business analysts need to be able to be effective in formal and informal leadership roles,
in order to guide analysts investigating requirements and to help rally stakeholder
support for a necessary change.
.2
Definition
The business analyst’s responsibility for defining and communicating requirements will
place him or her in a key leadership role in any group or project team, whether or not
there are people formally reporting to the business analyst.
Leadership involves motivating people to act in ways that enable them to work together
to achieve shared goals and objectives. The business analyst must understand the
individual needs and capabilities of each team member and stakeholder and how those
can be most effectively channeled in order to reach the shared objectives. Effective
leadership therefore requires that the business analyst be able to develop a vision of a
desired future state that people can be motivated to work towards and the
interpersonal skills necessary to encourage them to do so.
.3
Effectiveness Measures
Effective leadership and influencing skills are demonstrated though:
•
Reduced resistance to necessary changes
•
Team members and stakeholders demonstrating a willingness to set aside
personal objectives when necessary
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•
8.6.3
266
Articulation of a clear and inspiring vision of a desired future state
Teamwork
.1
Purpose
Business analysts must be able to work closely with other team members to effectively
support their work so that solutions can be effectively implemented.
.2
Definition
BAs customarily work as part of a team with other BAs, project managers and other
stakeholders and solution delivery staff. Relationships within the team are thus an
important part of the success of any project or organization.
AF
T
There are a number of team development models that attempt to explain how teams
form and function. These models outline how the team progresses and what is normal
at various stages of the team lifecycle. Recognizing the stage of the teams progress
through the model can lower the stress of team relationship development by allowing
members to recognize behaviors as normal, expected, and a stage to be worked through.
Communications and trust can also be enhanced through understanding and
awareness of facets such as the process of setting of rules for the team, team decisionmaking, formal and informal team leadership and management roles.
DR
Team conflict is quite common. If handled well, the resolution of conflict can actually
benefit the team. The basic types of conflict are emotional and cognitive. Emotional
conflict is personal while cognitive conflicts are based upon the disagreements on
matters of substantive value or impact for the project. Cognitive conflict focuses the
team on examining the premises, assumptions, observations and expectations of the
team members. Working through such problems can have the beneficial effect of
strengthening the foundation of the analysis and the solution.
.3
Effectiveness Measures
Effective teamwork skills are demonstrated though:
•
Fostering a collaborative working environment
•
Effective resolution of conflict
•
Developing trust among team members
•
Support among the team for shared high standards of achievement
•
Team members have a shared sense of ownership of the team goals
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8.7
Software Applications
8.7.1
General-Purpose Applications
.1
Purpose
Business analysts use office productivity applications to document and track
requirements.
.2
Definition
These applications generally consist of three components in a suite of tools: word
processing, spreadsheets, and presentation software. The documents produced by these
tools are the primary way in which information is stored and distributed in many
organizations, and business analysts need to be proficient with their use even where
more specialized tools are available. They have the advantage of being low-cost or even
free, and almost every stakeholder will have access to them.
AF
T
Word processors are commonly used to develop and maintain requirements
documents. They allow a great deal of control over the formatting and presentation of a
document. Standard requirements documentation templates are widely available for
word processors and such templates can be readily downloaded from the internet
without much difficulty. Most word processing tools have a limited capability to track
changes and record comments, but they are not really designed for collaborative
authoring.
DR
Spreadsheets are often used to maintain lists (such as atomic requirements, features,
actions, issues, or defects). They can also be used to support decision analysis and are
very effective at summarizing complex scenarios. Spreadsheets also support limited
change tracking, and can be shared among multiple users in much the same way as a
word processing document.
Presentation software is commonly used to support training or to introduce topics for
discussion among stakeholders. While some of these applications can be used in a very
limited way to capture requirements or simulate a low-fidelity prototype, their primary
purpose is to support the structuring and delivery of verbal information.
Collaboration and knowledge management tools are used to support the capturing
of knowledge distributed throughout an organization and make it as widely available as
possible. They enable documents to be made available to an entire team and facilitate
collaboration on those documents, enable multiple users to work on a document
simultaneously, and generally support commenting on or discussion about the
documents or their content as well. These tools may take the form of document
repositories (which integrate with office productivity software), wikis (which allow easy
creation and linking of web pages), discussion forums, or other web-based tools. They
can vary widely in cost.
Communication tools, such as email and instant messengering applications, are used
as needed to communicate with stakeholders who are remotely located, who cannot
respond to queries immediately, or who may need a longer-term record of a discussion.
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They are generally available to almost all stakeholders and are very easy to use.
However, they are generally not effective for long-term storage or retention of
information. Their primary use is to facilitate communication over time or distance.
.3
Effectiveness Measures
Measures of skill with specialized applications include:
The business analyst is able to apply their understanding of one tool to other
similar tools.
•
The business analyst is able to identify major tools in the marketplace and
describe how they are used in any given situation
•
The business analyst understands and is able to use most of the major features
of the tool
•
The business analyst is able to use the tools to complete requirements-related
activities more rapidly than is possible without them
•
The business analyst is able to track changes to the requirements made through
the tools
AF
T
8.7.2
•
Specialized Applications
.1
Purpose
DR
Business analysts use modeling tools to support the development of formal models, and
in some cases, their validation and implementation as well.
.2
Definition
Diagramming tools are designed to support the rapid drawing and documentation of
a model, typically by providing a set of templates for a particular notation which are
used to develop diagrams based on it. They generally do not enforce or verify
compliance with the notation standard, or do so in a limited fashion. They are generally
low-cost and relatively easy to use, and the resulting diagrams can be integrated into a
word processing document.
Modeling tools facilitate the conversion of the model into an executable form, either by
use of a proprietary engine for executing the model or by generating application code
which can be enhanced by a developer. The model will verify compliance with the
notation. These tools potentially allow for very rapid development and deployment of
new applications, but in many cases significant customization of the output is required
and it is challenging to keep the model in sync with the deployed application. They are
medium to high cost and often require some specialized training to use.
Prototyping tools support the rapid creation and modification of a proposed user
interface. They are designed to simulate the front-end behavior of an application so that
its users can understand how it will be used in practice and identify improvements to it
cheaply and easily. They may have a limited capability to embed some functional logic
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or business rules in the prototype. Some prototyping tools also support the
documentation of relevant requirements. Prototyping tools are generally not designed
to replace or supplement the application development tools which will be used to build
the actual application. They are highly variable in cost, but often require training to use.
Requirements management tools are used to support change control, traceability,
and configuration management of requirements and requirements artifacts. Some tools
are also capable of linking requirements to software code. They are designed to ensure
that a reason is recorded for any changes to the requirements and to help to rapidly
identify any impacts from those changes. They are medium to high-cost and often
require specialist training. They are most commonly used by large and/or
geographically dispersed teams.
.3
Effectiveness Measures
Measures of skill with specialized applications include:
The business analyst is able to apply their understanding of one tool to other
similar tools.
•
The business analyst is able to identify major tools in the marketplace and
describe how they are used in any given situation
•
The business analyst understands and is able to use most of the major features
of the tool
•
The business analyst is able to use the tools to complete requirements-related
activities more rapidly than is possible without them
DR
AF
T
•
•
The business analyst is able to track changes to the requirements made through
the tool
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